Nicholas P Salas
Securities Industry Professional
- Role
- Director Regulatory Compliance at Risc Consultants
- Location
- Miami, FL, US
- LinkedIn followers
- 500 followers
About Nicholas P Salas
Nicholas has worked in the financial markets since 1994, in large or mid-size financial institutions, including banks, investment advisers and broker-dealers, and across several jurisdictions in LATAM. His expertise includes Wealth Management, Cross-border issues, AML, Supervision, Advertising or Marketing Review and US Regulatory frame-work. Nicholas received his bachelor degree from Florida International University (FIU), on Interdisciplinary Social Studies, which allows him to appreciate the challenges when dealing across borders and cultures. Also has obtained his Juris Master (Masters of Law) at Florida State University (FSU). He has earned several securities licenses (e.g. 4,7,8,24,63,65,79) with different focuses. 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. Related to AML, received the FIBA AML designation of CPAML (AML Compliance Professional) and received a Teaching Certification from Harvard University. Fluent in English, Portuguese and Spanish.
Experience
Director Regulatory Compliance
Apr 2017 — Present · Miami, FL, US
Consulting services specialized on BDs and RIAs, focusing on foreign institutions seeking to establish a sustainable presence in the US, providing effective and flexible solutions to a select clientele.
Education
Miami Dade College
Associate of Arts (AA), Philosophy
The Wharton School
CRCP Certification
2015
Florida International University
Bachelor's degree, Interdisciplinary Social Studies
Florida State University College of Law
Juris Master, Law
2020 — 2022
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