Team Size: 6 people, including myself

What are the most significant cases, projects and/or transactions that you and/or your legal team have recently been involved in?

One of the most significant and impactful projects we led during 2024, continuing into this year, was the legal and compliance strategy underpinning a major technological transformation at Alpha. The company transitioned from one core operating system to another—an essential evolution to enhance operational efficiency, but one that also posed substantial legal, regulatory, and AML/CFT (Anti-Money Laundering and Countering the Financing of Terrorism) risks.

The legal team was involved from the outset, collaborating closely with the compliance, IT, and operations departments to ensure the transition was both technically robust and fully aligned with domestic and international regulatory standards.

This project required:

A comprehensive legal risk assessment.

The review and modification of internal policies and procedures.

Ongoing legal oversight throughout implementation.

It was a demanding and complex process, requiring agility, collaboration, and strong strategic alignment. Thanks to our team’s expertise and forward-thinking approach, the transition was completed successfully and without incident. This initiative clearly demonstrated the role of Legal not just as a support function, but as a strategic leader capable of driving transformative change within the organisation.

How do you approach managing legal aspects during periods of instability or crisis to ensure the organisation’s resilience?

In periods of uncertainty or transition—such as the recent wave of regulatory changes within the Dominican Republic’s rapidly expanding capital markets sector—my approach is to remain proactive, adaptable, and closely aligned with business strategy.

Legal must not only respond to risks but anticipate them. This requires offering practical, commercially minded guidance that supports both compliance and business continuity. In emerging markets like ours, where regulatory frameworks evolve quickly, traditional legal approaches often fall short. We must innovate and stay ahead of the curve.

A key priority during such times is strengthening our AML/CFT framework. As financial markets grow, so do the risks associated with financial crime. I place significant emphasis on ensuring Legal takes the lead in:

Designing and embedding robust internal controls;

Maintaining compliance with evolving regulations;

Cultivating a culture of transparency and accountability.

Our goal is not merely to protect the company from legal exposure, but to contribute meaningfully to the development of a resilient, compliant, and trustworthy financial ecosystem—one that supports sustainable national development.

AI has been taken seriously as a potentially revolutionary technological change in the legal world for a number of years now. Has it had a meaningful impact in how your legal team works in this time?

In the securities market, paying close attention to the impact of AI is crucial for two primary reasons.

First, the speed at which AI is developing presents inherent risks—particularly in the potential for deceptive practices by clients or market actors. Our role is to remain one step ahead, ensuring we can identify, assess, and mitigate those risks swiftly and effectively.

Second, we are proactively adopting AI-driven tools to optimise our internal processes. By integrating AI into our compliance and legal workflows, we are enhancing both our operational efficiency and our risk management capabilities. This enables us to keep pace with the increasingly complex regulatory environment and strengthens our strategic position within the market.

Responsible use of AI is no longer optional—it’s essential.

How does your team contribute to the overall business strategy of the company? Can you share an example of a recent legal-led initiative that had a significant impact?

The Compliance and Legal departments are integral to Alpha’s strategic direction, particularly as the Dominican Republic’s securities market operates under a stringent regulatory framework. Regulatory compliance is not merely a legal obligation—it is a strategic priority. Failure to comply can lead to financial penalties, reputational harm, and disruption to business continuity.

In 2024, we significantly strengthened our focus on corporate governance and proactive compliance, embedding both into the company’s broader strategy. We prioritised not only adherence to current regulations but also alignment with international standards and best practices.

A key example of our impact was our leadership in enhancing AML/CFT controls during the recent technological transition. This initiative did more than reduce legal exposure—it reinforced market confidence in Alpha, demonstrating our commitment to transparency, ethical conduct, and long-term sustainability.

By embedding legal and compliance considerations into strategic planning, we help the business operate securely and with confidence in a rapidly changing regulatory environment.