Alberto specialises in ongoing compliance support and DFSA authorisations. He is authorised by the DFSA as the Compliance Officer and MLRO for several Corporate Finance and Asset Management firms and has assisted clients of different regulatory categories with their day-to-day compliance requirements. He has assisted firms in remedying deficiencies and implementing a robust and relevant compliance framework in line with DFSA’s requirements. Alberto is also part of the CCL FinTech Team and is involved with various FinTech projects including crowdfunding platforms, crypto assets and blockchain technology. He has advised clients on the requirements to set up a FinTech business in both the DIFC and the ADGM, helped to prepare them for meetings with the relevant regulator, and assisted them with the development of their compliance framework.
On the licensing side, Alberto has further assisted a number of clients in obtaining their DFSA license under various prudential categories, as well as with their registration in the DIFC. This work includes advising clients on the drafting of regulatory business plans, designing bespoke systems and controls covering compliance, anti-money laundering, governance and risk matters, and providing clients with general advice along the authorisation process.
Prior to joining CCL, Alberto held a management position at the Mexican Stock Exchange, specifically in its division SIF ICAP, the leading interdealer broker in Mexico. Whilst at SIF ICAP, he participated in managing the firm’s corporate and regulatory risks and risk prevention through the design, implementation and monitoring of control rules. Alberto also acted as secretary and legal advisor for SIF ICAP’s subsidiaries and was responsible for the execution of their commercial agreements. Prior to this, Alberto worked at the law firm, Jones Day in Mexico, where he focused on corporate law, practising on various M&A deals, as well as the incorporation of various entities for national and foreign clients and due diligence reviews.
Alberto is a qualified lawyer who holds a Masters in Finance, a CISI Level 6 Diploma in Investment Compliance, an International Advanced Certificate in Compliance and CISI level 3 awards in Global Financial Compliance and Risk in Financial Services.
Recent work includes:
- Advising a money service company using blockchain technology on the requirements to set up in the ADGM
- Assisting firms that operate crowdfunding platforms on the implementation of their compliance and AML framework
- Actively involved in several formal responses to DFSA Consultation Papers on behalf of CCL
- Acting as the outsourced Compliance Officer and MLRO for the DIFC operations of several Corporate Finance and Asset Management firms
- Delivering DIFC Compliance and AML training to Authorised Firms
- Assisting applicants to obtain authorisation of DFSA for different categories
- Designing bespoke systems and controls for new applicants to the DIFC covering compliance, AML, governance and risk matters