ALICIA MAYI
FOUNDER | PRESIDENT
ALICIA ESTABLISHED RISC CONSULTANTS TO PROVIDE COMPLIANCE CONSULTING FOR BROKER DEALERS AND REGISTERED INVESTMENT ADVISORS. THROUGH OVER 20 YEARS OF DOMESTIC & INTERNATIONAL EXPERIENCE WITH BOTH BROKER-DEALERS AND INVESTMENT ADVISORS, SHE HAS BEEN RECOGNIZED FOR UNDERSTANDING THE CONCEPTUAL REGULATORY MANTEL AS WELL AS THE ABILITY TO APPLY A PRAGMATIC APPROACH TO HER DELIVERY. THROUGH ETHICAL AND CONSISTENT WORK, CLIENTS HAVE RELIED ON HER CAPABILITIES, ALLOWING THEM TO DIRECT FOCUS TO THEIR BUSINESS DEVELOPMENT.
ORIGINALLY FROM ST. LOUIS, HER INTERNATIONAL DEALINGS AND MIAMI BASE HAVE ALLOWED HER TO LEARN SPANISH AND FURTHER DEVELOP NOT ONLY THE APPRECIATION BUT UNDERSTAND THE CHALLENGES THAT INTERNATIONAL MARKETS PRESENT. SHE OBTAINED HER B.A. IN MATHEMATICS AT FLORIDA INTERNATIONAL UNIVERSITY.
HER CLIENT BASE HAS ORGANICALLY GROWN THROUGH REFERRALS, LARGE AND SMALL, PROVING THE QUALITY OF HER WORK IS HER GREATEST MARKETING TOOL. SHE HAS ALSO EXPANDED THROUGH STRATEGIC ALLIANCES, ALLOWING HER TO OFFER VITAL SERVICES TO HER CLIENTS. THIS ENTREPRENEURIAL SPIRIT IS BALANCED WITH THE PROPER CHARACTERISTICS SOUGHT IN A COMPLIANCE PERSON, MAKING HER INPUT AND BUSINESS A VALUED COMMODITY IN TODAY’S FAST CHANGING MARKET.
NICHOLAS P. SALAS
DIRECTOR
NICHOLAS HAS OVER 25 YEARS’ EXPERIENCE IN THE FINANCIAL MARKETS. HE HAS WORKED IN SEVERAL LARGE FINANCIAL INSTITUTIONS, AND ACROSS SEVERAL JURISDICTIONS IN LATAM. HIS EXPERTISE INCLUDES CROSS-BORDER ISSUES, AML, SUPERVISION, ADVERTISING OR MARKETING REVIEW AND THE US REGULATORY FRAMEWORK. NICHOLAS RECEIVED HIS BACHELOR’S DEGREE FROM FLORIDA INTERNATIONAL UNIVERSITY, ON INTERDISCIPLINARY SOCIAL STUDIES, WHICH ALLOWS HIM TO APPRECIATE THE CHALLENGES WHEN DEALING ACROSS BORDERS AND CULTURES, AND HIS JURIS MASTERS (JM) FROM FLORIDA STATE UNIVERSITY WITH A CONCENTRATION IN THE FINANCIAL INDUSTRY.
NICHOLAS IS PART OF THE FLORIDA STATE UNIVERSITY JURIS MASTER’S ADVISORY BOARD, WHICH PRIMARY OBJECTIVE IS TO PROVIDE FEEDBACK, IDEAS AND TOPICS, POTENTIAL COURSE OFFERINGS, INDUSTRY TRENDS AND PARTICIPATE IN THE ALUMNI AMBASSADOR PROGRAM, AND MENTORSHIP. HE ALSO IS PART OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) PUBLIC COMMUNICATIONS COMMITTEE, SEEKING TO ADD VALUE WITH HIS INDUSTRY EXPERIENCE REGARDING ADVERTISING REVIEW AND PUBLIC COMMUNICATION.
HE ALSO EARNED THE CRCP (“COMPLIANCE REGULATORY CERTIFIED PROFESSIONAL”) DESIGNATION FROM THE FINRA INSTITUTE AT WHARTON – UNIVERSITY OF PENNSYLVANIA EXECUTIVE EDUCATION, WHICH FOCUSES ON THE US REGULATORY & COMPLIANCE FRAMEWORK AND THE FINANCIAL AND INTERNATIONAL BUSINESS ASSOCIATION (FIBA) AML DESIGNATION OF CPAML (AML COMPLIANCE PROFESSIONAL).
AS A SECURITIES INDUSTRY ENTREPRENEUR BASED IN MIAMI, FL, HE NORMALLY PROVIDES REGULATORY, OPERATIONAL, SALES AND BUSINESS ADVICE, MOSTLY FOCUSED ON INTERNATIONAL FIRMS THAT VENTURE INTO THE US MARKET. HE IS FLUENT IN PORTUGUESE AND SPANISH.
FARID “ANDY” VELASQUEZ
FINOP & ACCOUNTING
MR. VELASQUEZ HAS OVER 12+ YEARS OF EXPERIENCE IN FINANCIAL INDUSTRY AND OVER 20+ YEARS EXPERIENCE IN BUSINESS MANAGEMENT ACROSS SEVERAL INDUSTRIES.
HE HAS WORKED WITH MANY MIAMI BASED BROKER-DEALERS, INVESTMENT ADVISORS AND INVESTMENT FUNDS AMONGST OTHERS. HIS EXPERIENCE INCLUDES VARIOUS SENIOR POSITIONS IN FINANCE AREAS, WITH SOME OF THE LARGEST BROKER DEALERS IN LATIN AMERICA.
HE OBTAINED BA DEGREE FROM JORGE TADEO LOZANO UNIVERSITY IN CARTAGENA, COLOMBIA. HE'S AN EXPERIENCED BILINGUAL CFO/FINOP.
MUNDI MARTINEZ
STRATEGIC PARTNER - LEGAL COUNSELOR
OSMUNDO “MUNDI” MARTINEZ IS A LONG TERM RESIDENT OF MIAMI, HAVING PRACTICED LAW SINCE 1980 WHEN HE WORKED WITH A PROMINENT LAW FIRM OF SAUNDERS, CURTIS, GINESTRA AND GORE BASED IN FT. LAUDERDALE FL.
WORK FOCUSED ON REAL ESTATE LENDING FOR A MAJOR FEDERAL SAVINGS IN LOAN THAT LEAD TO HIS EVENTUAL MOVE TO MIAMI WITH THE INTERNATIONAL LAW FIRM OF MCDERMOTT, WILL AND EMERY WORKING AS AN ASSOCIATE IN THE REAL ESTATE DEPARTMENT. IN 1987 MUNDI STARTED HIS OWN LAW FIRM CALLED MARTINEZ, QUINTANA, ARBOLEYA AND DELGADO, WHERE THE FIRM HANDLED REAL ESTATE, OFFSHORE TRUSTS AND LITIGATION. IN 1993, MUNDI CHANGED CAREERS AND JOINED MERRILL LYNCH INTERNATIONAL WORKING IN THE OFFSHORE TRUST DEPARTMENT COVERING LATIN AMERICA WHERE HE HEADED THE LATIN AMERICAN TRUST SALES TEAM. IN ADDITION TO MERRILL, MUNDI ALSO HEADED THE LATIN AMERICAN TRUST SALES TEAM FOR HSBC PRIVATE BANK IN MIAMI. MUNDI’S WORKED CLOSELY WITH FINANCIAL ADVISORS AT MERRILL, DLJ/CREDIT SUISSE AND HSBC, HE OBTAINED HIS SERIES 7 AND 66 LICENSES.
WORK FOCUSED ON REAL ESTATE LENDING FOR A MAJOR FEDERAL SAVINGS IN LOAN THAT LEAD TO HIS EVENTUAL MOVE TO MIAMI WITH THE INTERNATIONAL LAW FIRM OF MCDERMOTT, WILL AND EMERY WORKING AS AN ASSOCIATE IN THE REAL ESTATE DEPARTMENT. IN 1987 MUNDI STARTED HIS OWN LAW FIRM CALLED MARTINEZ, QUINTANA, ARBOLEYA AND DELGADO, WHERE THE FIRM HANDLED REAL ESTATE, OFFSHORE TRUSTS AND LITIGATION. IN 1993, MUNDI CHANGED CAREERS AND JOINED MERRILL LYNCH INTERNATIONAL WORKING IN THE OFFSHORE TRUST DEPARTMENT COVERING LATIN AMERICA WHERE HE HEADED THE LATIN AMERICAN TRUST SALES TEAM. IN ADDITION TO MERRILL, MUNDI ALSO HEADED THE LATIN AMERICAN TRUST SALES TEAM FOR HSBC PRIVATE BANK IN MIAMI. MUNDI’S WORKED CLOSELY WITH FINANCIAL ADVISORS AT MERRILL, DLJ/CREDIT SUISSE AND HSBC, HE OBTAINED HIS SERIES 7 AND 66 LICENSES.
HE IS A MEMBER OF THE FLORIDA BAR AND HAS A MARTINDALE HUBBELL AV PREEMINENT RATING. IN 2017 HE RETIRED FROM THE FINANCIAL SERVICES INDUSTRY AND RETURNED TO THE PRACTICE OF LAW. HIS PRACTICE SPECIALIZES IN REAL ESTATE LAW AND OFFSHORE TRUSTS AND TAX MINIMIZATION STRUCTURES FOR FOREIGN CLIENTS HAVING US ESTATE TAXABLE ASSETS.
LINETTY HERBERT
BSA|AML SPECIALIST
LINETY HAS OVER 20 YEARS OF DOMESTIC & INTERNATIONAL FINANCIAL INDUSTRY EXPERIENCE. SHE IS BILINGUAL AND HAS WORKED WITH MANY MIAMI BASED BROKER-DEALERS AND INVESTMENT ADVISORS AS WELL AS BANKS WITH A PARTICULAR FOCUS IN THE AREAS OF AML & BSA.
EDUARDO ALMEIDA MOTA
STRATEGIC PARTNER - COMPLIANCE DIRECTOR
Based in Houston-TX, Master of Public Administration from Columbia University of New York City, Postgraduate in Tax Planning and Tax Law, graduated in Law and graduated Officer of São Paulo State's Military Police.
EDUARDO Holds CFE and PMP certifications. With more than 25 years of professional experience in the careers of Military Police and State Tax Auditor, Eduardo has worked in the compliance, investigation, and intelligence areas. He performed as an expert for the IMF, IDB, and ATAF in Brazil, Angola, and Cape Verde missions. His Columbia University thesis is the basis of the São Paulo State Complimentary Law 1.320/18 that supports the "Nos Conformes" tax compliance program.
