Carlos González-Stawinski
CIMA Financial Regulation Consultants, LLC is led by Carlos González-Stawinski. Carlos is an Attorney with a Masters of Laws (LLM) in Financial Services Law from Kent College of Law and with over 20 years of experience in financial services laws and regulations. Carlos started his career as a Legal Counsel for the Puerto Rico Office of the Commissioner of Financial Institutions where led enforcement cases against registered representatives and broker/dealers as well as developed securities and capital markets regulation for the Commonwealth.
Since then, he has occupied Senior leadership positions in leading global financial institutions where he has been instrumental in promoting a safe and sound business environment that has enabled growth.
Throughout his career, Carlos has occupied leadership positions at both regional and international financial institutions:
- Chief Compliance Office – Popular Securities, Inc.
- Chief Compliance Officer – Citi International Financial Services, LLC
- Head of Investments Supervision - Citi International Personal Bank
- Head of Investment Supervision for the Americas – The Citi Private Bank
- Member of the Citi Fiduciary Committee (Investment Advisory)
- Board Member Citi Private Advisors (brokerage and investment advisor)
- Member of the Citi Global Markets, Inc. Regulations Committee
- Member of the Citi International Personal Bank Product Committee
- Chair of the Citi International Personal Bank Offshore Wealth Services Committee
Responsibilities and Key Projects
- Manage Compliance Program for Regional and International broker/dealer.
- Manage Supervision Program for International broker/dealer.
- Lead Latin America Expansion program for International broker/dealer, including establishing branches in offshore locations.
- Reorganization of Supervisory Footprint to gain efficiencies by creating a centralized supervisory utility.
- Enhance and create broker/dealer Written Supervisory Procedures for both Domestic and International brokerage business.
- Manage Supervisory oversight program for Investment Advisory Business.
- Contribute to remediation projects for both broker/dealer and investment advisory business.
