Aly Sosa
Summary
Accomplished legal and compliance advisor with extensive experience in digital asset regulation, RegTech, and financial services compliance. Demonstrated success in leading regulatory compliance projects, leveraging technology to drive legal and regulatory innovation. Proven expertise in navigating complex international regulatory environments, enhancing compliance frameworks, and fostering digital transformation in financial services. Strong leadership skills in managing cross-functional and international teams to achieve strategic objectives.
Overview
13
13
years of professional experience
Work History
Digital Assets Compliance Advisor
Meta Legal
Remote
01.2020 - Current
- Spearheaded regulatory compliance and digital transformation projects within the digital assets sector, emphasizing on DAOs, NFTs, and DeFi.
- Led the successful implementation of AI-driven tools for regulatory classification and compliance process optimization.
- Managed end-to-end project lifecycles, ensuring excellence in delivery and customer success in navigating regulatory landscapes.
Compliance Counsel
Progressive Leasing
, UT
01.2018 - 01.2020
- Orchestrated compliance strategy and digital transformation initiatives, expanding market reach and compliance in Spanish-speaking regions.
- Led agile compliance project teams, significantly enhancing operational efficiency and customer engagement through tailored compliance solutions.
RegTech Legal Technologist
Droit Financial Technologies
, NY
05.2016 - 02.2017
- Drove the development of RegTech solutions for MiFID II and EMIR compliance, translating complex regulations into actionable, automated compliance processes.
Legal Associate
Lopresti Law Firm
, NY
01.2013 - 05.2014
- Navigated and ensured compliance with Dodd-Frank, SEC, NFA, FINRA, AML, regulations, focusing on agreements involving private equity and derivatives.
Senior Analyst
Goldman Sachs
, NY
05.2011 - 08.2012
- Directed comprehensive Anti-Money Laundering (AML) initiatives, conducting in-depth analyses to fortify the firm against financial crimes and ensure adherence to BSA, OCC, PEP, and OFAC regulations.
Education
Juris Doctor - Corporate and Securities Law
Benjamin N. Cardozo School of Law
06.2015
Master of Laws - International Economic Law
The Chinese University of Hong Kong
09.2010
Bachelor of Arts - Economics
University of Utah
05.2008
Skills
- Deep expertise in financial regulations (MiFID II, EMIR, Dodd-Frank) and digital asset regulation
- Strong project management skills, adept in Agile, JIRA and SCRUM methodologies
- Exceptional ability in leading digital transformation projects in regulatory compliance
- Effective leadership and team management, experienced in coordinating with offshore teams
Languages
English
Full Professional
Spanish
Professional
Timeline
Digital Assets Compliance Advisor
Meta Legal
01.2020 - Current
Compliance Counsel
Progressive Leasing
01.2018 - 01.2020
RegTech Legal Technologist
Droit Financial Technologies
05.2016 - 02.2017
Legal Associate
Lopresti Law Firm
01.2013 - 05.2014
Senior Analyst
Goldman Sachs
05.2011 - 08.2012
Juris Doctor - Corporate and Securities Law
Benjamin N. Cardozo School of Law
Master of Laws - International Economic Law
The Chinese University of Hong Kong
Bachelor of Arts - Economics
University of Utah