Regulatory Intelligence Services & Compliance Consultants
Meet the Team
The industry & your business are constantly evolving.
We are here to help
FOUNDER | PRESIDENT-
Alicia Mayi
ALICIA ESTABLISHED RISC CONSULTANTS TO PROVIDE COMPLIANCE CONSULTING FOR BROKER DEALERS AND REGISTERED INVESTMENT ADVISORS. THROUGH OVER 25 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.
DIRECTOR-
Nicholas P. Salas
NICHOLAS HAS OVER 30 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.
SENIOR CORPORATE CONSULTANT-
Renata Schop
RENATA IS A COMPLIANCE PROFESSIONAL WITH OVER 30 YEARS OF EXPERIENCE IN THE FINANCIAL INDUSTRY, WORKING GLOBALLY TO ENSURE ORGANIZATIONS' ADHERENCE TO REGULATORY REQUIREMENTS AND INTERNAL POLICIES. WITH A DETAIL-ORIENTED AND PROACTIVE APPROACH, SHE EXCELS IN CONDUCTING IN-DEPTH ASSESSMENTS, IDENTIFYING RISKS, AND IMPLEMENTING EFFECTIVE STRATEGIES TO SAFEGUARD CORPORATE INTEGRITY AND MITIGATE LEGAL EXPOSURE.
THROUGHOUT HER CAREER, SHE HAS HELD LEADERSHIP POSITIONS AT MAJOR FINANCIAL INSTITUTIONS SUCH AS BANK OF AMERICA AND MERRILL LYNCH, WHERE SHE PLAYED STRATEGIC ROLES IN COMPLIANCE, BUSINESS SUPERVISION, AND OPERATIONAL RISK MANAGEMENT. HER ABILITY TO NAVIGATE COMPLEX REGULATORY ENVIRONMENTS AND FOSTER A CULTURE OF ETHICAL CONDUCT HAS MADE HER A RESPECTED FIGURE IN THE FIELD.
RENATA HOLDS A BACHELOR'S DEGREE IN MARKETING AND SOCIAL COMMUNICATION AND HAS EARNED SEVERAL PROFESSIONAL CERTIFICATIONS, INCLUDING THE PQO – OPERATIONAL QUALIFICATION PROGRAM COMPLIANCE AND FINRA LICENSES SERIES 3, 7, 9, AND 10, REINFORCING HER EXPERTISE IN FINANCIAL REGULATION AND SUPERVISION. FLUENT IN PORTUGUESE, ENGLISH, AND SPANISH, SHE HAS EXTENSIVE INTERNATIONAL EXPERIENCE AND A DEEP UNDERSTANDING OF REGULATORY CHALLENGES ACROSS DIFFERENT MARKETS.
Senior Corporate Consultant-
Luis Oliveira
LUIS EARNED HIS GLOBAL EXECUTIVE MBA FROM IE BUSINESS SCHOOL, ENHANCING HIS ABILITY TO NAVIGATE COMPLEX GLOBAL MARKETS, AND A B.A.SC. IN ELECTRICAL ENGINEERING FROM THE POLYTECHNIC SCHOOL OF THE UNIVERSITY OF SAO PAULO. HE HOLDS AN EXTENSIVE ARRAY OF FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) CERTIFICATIONS, INCLUDING SERIES 7, 9, 10, 24, 27, 52TO, 55, 57TO, 63, 99TO, AND SIE, AS WELL AS THE NATIONAL FUTURES ASSOCIATION (NFA) SERIES 3 AND SWAPS PROFICIENCY DESIGNATION. ADDITIONALLY, HE HAS COMPLETED SPECIALIZED PROGRAMS AT SINGAPORE MANAGEMENT UNIVERSITY AND UCLA ANDERSON SCHOOL OF MANAGEMENT.
AS A FINTECH AND SECURITIES INDUSTRY LEADER BASED IN MIAMI, FL, AND SAN FRANCISCO, CA, LUIS HAS A PROVEN TRACK RECORD OF BUILDING HIGH-PERFORMING TEAMS, FOSTERING INNOVATION, AND DELIVERING EXCEPTIONAL RESULTS FOR CLIENTS AND STAKEHOLDERS. HE EXCELS IN LARGE-SCALE PROJECT PLANNING AND EXECUTION AND SPECIALIZES IN CLEARING AND CUSTODIAL AGREEMENTS AND NEGOTIATION, BROKER-DEALER OPERATIONAL STRUCTURE, AND TRADING. HIS WORK INCLUDES OPTIMIZING PERFORMANCE METRICS, STREAMLINING OPERATIONAL PROCESSES, AND FORGING STRATEGIC PARTNERSHIPS THAT ENHANCE EXECUTION QUALITY AND REDUCE COSTS. FLUENT IN ENGLISH, AND PORTUGUESE.
SPECIALISTS
FINOP & ACCOUNTING-
Farid “Andy” Velasquez
ANDY 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.
BSA|AML SPECIALIST, NOTARY-
Linetty Herbert
LINETTY 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.
