FARID VELASQUEZ

CFO, FINANCIAL & FINOP SERVICES

STRATEGIC PARTNER

MR. VELASQUEZ HAS OVER 12+ YEARS OF EXPERIENCE IN THE 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.

SEASONED PROS

ALICIA MAYI

PRESIDENT

ALICIA ESTABLISHED RISC CONSULTANTS TO PROVIDE COMPLIANCE CONSULTING FOR BROKER DEALERS AND REGISTERED INVESTMENT ADVISORS.  THROUGH HER 20 YEARS OF DOMESTIC & INTERNATIONAL EXPERIENCE WITH BOTH BROKER-DEALERS AND INVESTMENT ADVISORS, SHE HAS BEEN RECOGNIZED FOR UNDERSTANDING THE CONCEPTUAL REGULATORY MANTEL AND THE ABLITY TO APPLY A PRAGMATIC APPROACH TO HER DELIVERY. THROUGH ETHICAL AND CONSISTENT WORK, CLIENTS HAVE RELIED ON HER CAPABILITIES ALLOWING THEM TO FOCUS ON 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 THE CHALLENGES THE INTERNATIONAL MARKETS PRESENT. SHE ALSO 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. 

OUR CONSULTANTS HAVE BEEN EVERYWHERE FROM BEHIND THE SCENES TO THE FRONT ROW

NICHOLAS P. SALAS

DIRECTOR

NICHOLAS HAS OVER 20 YEARS EXPERIENCE IN THE FINANCIAL MARKETS. HE HAS WORKED IN SEVERAL LARGE FINANCIAL INSTITUTIONS, INCLUDING BANKS AND BROKER-DEALERS, AND ACROSS SEVERAL JURISDICTIONS IN LATAM. HIS EXPERTISE INCLUDES CROSS-BORDER ISSUES, AML, SUPERVISION, MARKETING REVIEW AND US REGULATORY FRAME-WORK. NICHOLAS RECEIVED HIS BACHELOR DEGREE FROM FLORIDA INTERNATIONAL UNIVERSITY, ON INTERDISCIPLINARY SOCIAL STUDIES, WHICH ALLOWS HIM TO APPRECIATE THE CHALLENGES WHEN DEALING ACROSS BORDERS AND CULTURES.

MOST RECENTLY, HE 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. HE ALSO RECEIVED THE FIBA AML DESIGNATION OF CPAML (AML COMPLIANCE PROFESSIONAL) AND HE HAS BEEN ON SEVERAL PANELS AS AN INVITED SPEAKER (E.G. ACAMS, PRESTIGIOUS LOCAL LAW FIRMS). HE CONSTANTLY PROVIDES TRAINING TO SEASONED REGULATORY COMPLIANCE AND AML PROFESSIONALS. HE IS FLUENT IN PORTUGUESE AND SPANISH.

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Nicholas possui mais de 20 anos de experiência no mercado financeiro. Trabalhou em diversas instituições financeiras, incluindo bancos e corretoras de valores, além de ter passado por diversos países na américa latina. Sua expertise inclui questões relacionadas a “cross-border”, Prevenção à Lavagem de Dinheiro (PLD) e relativas ao sistema de regulamentação financeira norte-americano. É graduado em Estudos Sociais Interdisciplinares pela Florida International University, o que lhe permite lidar apropriadamente com os desafios em questões regulamentares “cross-border” e sua relação com questões de âmbito sociocultural. Nicholas é reconhecido como Profissional Certificado de Regulamentação e Compliance (Certified Regulatory and Compliance Professional - CRCP) pelo Instituto FINRA (Financial Industry Regulatory Authority) em parceria com o Programa de Educação Executiva da Wharton - University of Pennsylvania cujo o foco reside no quadro regulatório e de conformidade nos Estados Unidos. Também recebeu a designação avançada de Profissional Certificado em Prevenção à Lavagem de Dinheiro (CPAML - Certified Professional in Anti-Money Laundering - Compliance Professional) pela FIBA (Florida International Bankers Association). Nicholas têm participado de vários eventos na qualidade de palestrante convidado em reconhecidos escritórios de advocacia locais e também na Associação de Especialistas Certificados em Combate à Lavagem de Dinheiro (Association of Certified Anti-Money Laundering Specialists - ACAMS). Ademais, vem fornecendo constante treinamento à profissionais experientes na área de Compliance e prevenção à lavagem de dinheiro. É fluente em Inglês, Português e Espanhol.

MUNDI MARTINEZ

LEGAL SERVICES

STRATEGIC PARTNER

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.

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.

YEARS OF INDUSTRY EXPERIENCE HAS PROVIDED RISC CONSULTANTS WITH TOP NOTCH PROFESSIONALS FOR ALL BUSINESS SOLUTIONS WHILE PLACING YOUR FIRM'S INTEGRITY AND REPUTATION AS TOP PRIORITY.

OUR TEAM INCLUDES FINRA REGISTERED & SEASONED SALES SUPPORT WITH COUNTLESS AUDIT EXPERIENCES.  WE HAVE SPECIAL EXPERTISE IN COMPLIANCE, TRAINING, PREVENTION, & TRANSITIONS.

GUILHERME JUNQUEIRA FRANCO

LEGAL & COMPLIANCE SERVICES

STRATEGIC PARTNER

GUILHERME IS A QUALIFIED BRAZILIAN ATTORNEY AND A COMPLIANCE OFFICER WITH MORE THAN 20 YEARS OF EXPERIENCE IN CROSS-BORDER COMPLIANCE AND LEGAL AREAS, HAVING WORKED IN TOP FORTUNE 500 MULTINATIONAL COMPANIES AND BANKS.


HE ACTED AS LATIN AMERICAN CHIEF COMPLIANCE & AML OFFICER FOR SUCH COMPANIES DEALING WITH BOTH INSTITUTIONAL AND RETAIL CROSS-BORDER COMPLIANCE MATTERS. HE MANAGED LARGE COMPLIANCE TEAMS ACROSS DIFFERENT COUNTRIES, DEALING WITH DIFFERENT REGULATORS AND SELF-REGULATORS IN LATIN AMERICA, THE CARIBBEAN AND IN THE EUROPEAN UNION.


HE HAS EXTENSIVE EXPERIENCE IN PROVIDING CROSS-BORDER COMPLIANCE ADVICE FOR COMPANIES, FINANCIAL INSTITUTIONS, AND FAMILY OFFICES, ON INFORMATION INCLUDING, BUT NOT LIMITED TO, AML, SANCTIONS/WATCH-LISTS, ANTI-BRIBERY & CORRUPTION, ENHANCED DUE DILIGENCE, REPUTATION MANAGEMENT, CONDUCT, CULTURE & ETHICS, AND INFORMATION SECURITY AND PRIVACY MANAGEMENT.


HE SPENT 12 YEARS IN LONDON WORKING AS AN ATTORNEY FOR LONDON-BASED LAW FIRMS AND LARGE US INVESTMENT BANKS.  HE EARNED HIS LAW DEGREE FROM MACKENZIE UNIVERSITY IN BRAZIL AND IS A MEMBER OF THE BRAZILIAN BAR ASSOCIATION.  HE IS FLUENT IN PORTUGUESE, SPANISH, AND FRENCH.