Professional Summary

Professional Overview

Felipe Garza is an experienced Anti-Money Laundering (AML) and compliance professional currently serving as the AMLCO/VP at Alpaca. With a strong background in the financial services industry, he specializes in implementing robust AML programs, conducting risk assessments, and ensuring regulatory compliance.

Experience Summary

Current Role

As the AMLCO/VP at Alpaca, Felipe is responsible for overseeing the firm's AML compliance program. He develops and maintains effective policies, procedures, and controls to mitigate money laundering and financial crime risks. Felipe's key achievements in this role include enhancing the firm's transaction monitoring capabilities, providing comprehensive AML training to employees, and successfully navigating complex regulatory examinations.

Career Progression

Prior to joining Alpaca, Felipe held various compliance-focused roles within the financial services industry. He served as the Anti-Money Laundering Manager at Hilltop Securities Inc., where he spearheaded the implementation of advanced AML technology and automated monitoring systems. Earlier in his career, Felipe worked as a Fraud Surveillance Analyst at Apex Clearing Corporation and a Corporate Actions Analyst at Penson Financial Services, gaining valuable experience in fraud detection and data analysis.

Academic Background

Felipe holds a Bachelor's degree in Business Administration from the University of North Texas, with a focus on Finance and Accounting. He is committed to ongoing professional development and has obtained various industry certifications, including the Certified Anti-Money Laundering Specialist (CAMS) designation.

Areas of Expertise

• Anti-Money Laundering (AML) program management

• Regulatory compliance and risk assessment

• Transaction monitoring and suspicious activity reporting

• AML policy and procedure development

• Financial crime prevention and detection

• Fraud investigation and surveillance

• Data analysis and business intelligence

Professional Impact

Throughout his career, Felipe has made significant contributions to the financial services industry. He has been recognized for his ability to enhance AML compliance frameworks, drive process improvements, and collaborate effectively with cross-functional teams. His expertise in navigating complex regulatory environments and delivering measurable results has earned him a reputation as a trusted AML professional.

Conclusion

With a proven track record of success in the AML field, Felipe Garza is well-equipped to continue driving compliance excellence and mitigating financial crime risks for Alpaca and its clients. His commitment to professional development and industry leadership positions him as a valuable asset in the ever-evolving compliance landscape.