Karen (Alvarez) Lopez, CRCP®

Karen (Alvarez) Lopez, CRCP principally supervises FNEX Capital’s financial compliance operations.  Karen founded and led (as CEO) Capital Markets Compliance, LLC (CMC), a full service financial regulatory compliance consulting firm, until selling to ACA Group/Foreside Financial in 2021. For over 20 years and until its acquisition, CMC specialized in solving the regulatory compliance needs of registered broker dealers, investment advisors, bank affiliated broker dealers, and private equity funds. CMC’s internal dedicated accounting department specialized in net capital analysis, monitoring and acted as a complete outsource for broker dealers with or without an internal FINOP. Karen continues to specialize in regulatory compliance matters, including financial operations, as well as business development through KL Strategies LLC.