Directora de Cumplimiento
Chief Compliance Officer with over 18 years of experience in Financial Crime and Regulatory Compliance of Financial Institutions (including digital banking) and corporates. Certified by the CNBV.
- Act as advisor to the board on implementation of FCC/Regulatory Compliance and Ethics programs.
- Responsible for create Compliance areas and leading teams based in corporate strategies and providing guidance and support of compliance, legal and regulatory issues
- Perform the entire due diligence processes with third-parties and the implementation of AML and Anti corruption programs according with SEC and DOJ FCPA Regulatory Standards.
- Strong experience in Core Compliance matters like conflicts of interest, data privacy and protection, employee trading investments monitoring, sales practices requirements, market abuse, whistle blower investigations, cross border and trade compliance matters.
- Knowledge and experience in risk, control and assessment methodologies, including, issue tracking and action plans effectiveness evaluation.
- Develop and deliver advanced trainings and communications on Compliance matters and initiatives.
- Create and promote integrity policies and companies legal liability prevention programs (local regulatory requirements).