Miami, Florida, United States
Over the past 10+ years, I've been obsessed with modernizing compliance and regulatory technology in financial services. Now focused on serving RIAs and BDs through AI-Powered CCOs. Rising Star of the Year (Compliance Week, 2024). C-Suite Rising Star of the Year (Citywire, 2026). Specialized in SEC & FINRA regulation. I've spent my career building and running RIA compliance programs from scratch, most recently as Chief Compliance Officer of BBVA Global Wealth Advisors, where I sat on the Management team and Global Compliance Committee. Before that, I built Republic's compliance program from the ground up as its CCO. Running these programs firsthand showed me how fragmented and manual most compliance tooling still is, so I founded NextReg to fix that. NextReg has grown into a full-scale compliance execution group helping fintechs, wealth managers, and other RIAs and BDs modernize their compliance operations. Before starting my career, I graduated from Harvard University (Master's, Government) and Franklin & Marshall College (double major, Government and Public Policy), Phi Beta Kappa, Magna Cum Laude. Passion for government affairs, having interned at the House of Representatives, Senate, and the White House. English, Italian, Spanish, and Tennis fluently.
- NextReg is an AI-native CCO firm for RIAs and BDs. It combines AI technology and experienced CCO into a unified offering. - 75+ RIA/BD clients and $20+ billion in AUM protected across U.S. and LATAM, with a strong focus on fintechs and tech-enabled break-away practices. - Institutional clients across the U.S., Uruguay, Brazil, Colombia, Chile, Argentina, El Salvador, Mexico, and the U.K. - 18 full-time CCOs, AI engineers, and compliance officers - Partnerships with leading API-enabled custodians, top fund administrators, law firms, and regtechs
- It was the honor of a lifetime to serve as BBVA GWA's first full-time CCO, Management Team Member, and Global Compliance Committee Member - Took the firm from 0 to 1 navigating SEC registration, full-scale compliance program set up, team development, multiple audits, and daily supervision - Proud to have enabled business development as an ally and strategic thinker while maintaining rigorous 2nd Line of Defense enforcement
- Transitioned from consulting to in-house as Chief Compliance Officer for Republic (RIA, ERA, BD, Hedge Fund) - Built, owned, and enforced a new compliance program from the ground up based on SEC, FINRA, OFAC standards - Created a Code of Ethics Program for trainings, AML, KYC, audits, regulatory examinations, trade executions, more - Owned forensic testing, vendor selection, surveillance, LP escalations, research, GP compliance, ADV/PF/State filings - Strong in '40 Advisers Act; directly handling mock exams, regulatory inquiries, external audits, DDQs, SEC relationship - Routine exposure and review of regulated marketing compliance, custody, exemptions, RFIs, private placement offerings - Handling all regulatory filings: ADV (RIA/ERA), Annual Review, Blue Sky Filings, Form D, Form ID, Form CRS - Material Non-Public Information subject matter expert specialized in firm's operational and restricted list compliance
- Head of Channel Partnerships; Managed a team of consultants; specialized in regulatory affairs for investment managers relating to SEC compliance, FINRA, other regulatory risk
- Learned a lot about financial fraud, AML, KYC, broker dealers, transaction monitoring, corporate risk management, expert witness selection, and regulatory examination.
- Took a keen interest in RIA regulatory investigations, top performing associate H1 2020.
- Recruited by the Italian Speaker of the House of Representatives as expert consultant, had a lot of fun