Vivian Velazquez is the founder of V&V Consulting Group, a boutique consulting firm that provides expert witness, litigation support, and regulatory consulting to banks, broker-dealers, investment advisors, and private funds.
She has decades of experience as a former regulator and in the private sector. Vivian previously held senior compliance positions at global and national financial institutions with billions in assets under management and offices throughout the U.S and Latin America. She played a leading role in the successful launch of the broker-dealer subsidiary for a global European bank, supported major conversions, mergers, business restructurings, anti-money-laundering regulatory look-backs, and remediation mandates for leading US financial institutions.
As a former Branch Chief for the SEC’s Miami office, she managed the examination program for broker-dealers and transfer agents in Florida, Puerto Rico, Bermuda, and the Caribbean. She conducted and supervised examinations of dually registered broker-dealers/investment advisors and hedge funds and had oversight for the NASD (now FINRA), Atlanta office, and NYSE exams in the region. Prior to this experience, she was a Senior Examiner/Field Supervisor for the NASD (now FINRA) in New York and Colorado.
Earlier in her career, she worked for an insurance company in New York and was responsible for maintaining regulatory compliance for the affiliated subsidiaries, including the broker-dealer, investment advisor, proprietary mutual funds, and variable insurance separate accounts.
Vivian has provided expert witness and litigation support in depositions and hearings to SEC and NASD enforcement attorneys and in private litigation. She is a trained FINRA arbitrator. She holds a B.B.A degree in International Finance and Marketing from the University of Miami, Coral Gables, FL. Vivian is a Certified Regulatory and Compliance Professional (CRCP) and previously held the Series 7 and Series 24.
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