Carlos Barrientos

Carlos Barrientos has over 30 years of experience in the financial industry both in Commercial Banking and the Securities Industry. He is currently the Chief Compliance Officer and Anti-Money Laundering Compliance Officer of a small firm introducing broker-dealer, Invex, LLC, and he is also the Chief Compliance Officer of its affiliate SEC registered RIA’s Invex Advisors, LLC and Invex Next, LLC.

Prior to these roles, he was a trader on the Emerging Markets Fixed Income trading desk, executing trades for Fixed Income corporate and sovereign debt, Equities, Derivatives, Structured Products and Futures.  He has been working with Invex for almost 24 years, he has served in many capacities over the years and handled many SEC, NFA and FINRA audits. Carlos holds his Series 7, 24, 55, 63 and is a Certified Regulatory and Compliance Professional (CRCP)® graduate (2006).

 Carlos served as a member of the FINRA Small Firm Advisory Committee (SFAC) from 2021 to 2024 and was Chair for two consecutive years (2023, 2024). He worked closely with FINRA staff advocating for small firms to minimize the impact that rules and regulations have on them.

9c. BD - Identity Theft: How Reg S-ID & Reg SP Intersect with AML (Intermediate)