Alvaro P.
About Alvaro P.
Alvaro P. is a seasoned professional with over 20 years of experience in the global financial industry, currently serving as the Director and Head of Cross-Border Regulatory Compliance at C6 Bank. He has held various leadership roles in compliance and trading, including positions at HSBC and Kim Eng Securities, and possesses extensive knowledge of derivatives and securities regulations.
Work at C6 Bank
Alvaro P. currently serves as the Director and Head of Cross-Border Regulatory Compliance at C6 Bank, a position he has held since 2021. His role involves overseeing compliance with regulatory requirements for cross-border activities. Prior to this, he worked as the Director and Chief Compliance Officer / AMLCO for the US Broker Dealer at C6 Bank from 2019 to 2021. His experience at C6 Bank reflects his commitment to fostering a culture of compliance within the organization.
Previous Experience in Financial Services
Alvaro P. has over 20 years of experience in the financial services industry. He held various significant positions, including Vice President at HSBC, where he managed Swap Dealer Regulatory Compliance from 2017 to 2019 and worked in Equity Derivatives from 2014 to 2017. He also served as Senior Executive Vice President at Kim Eng Securities and as Sales Director at SuperDerivatives. His extensive background includes roles at CM Capital Markets, Ágora Corretora, and Alpes CCTVM, where he focused on electronic and algorithm trading and sales trading.
Education and Expertise
Alvaro P. holds a Bachelor’s degree in Economics from PUC - RJ, where he studied from 1994 to 1999. He furthered his education by obtaining an MBA from Purdue University Daniels School of Business in 2002. His academic background, combined with over two decades of industry experience, equips him with comprehensive knowledge of derivatives, securities products, and relevant regulations.
Achievements in Compliance and Change Management
Alvaro P. has a proven track record in managing compliance programs and driving change within organizations. His focus on continuous improvement in compliance initiatives has been a hallmark of his career. He has demonstrated the ability to foster a culture of compliance across various financial institutions, contributing to the enhancement of regulatory adherence and operational efficiency.