Financial industry professional with fifteen years of experience in client services, Operations (10y) and Internal Audit (5y). Proven ability to manage key stakeholder relationships with focus on risk and controls following Regulatory and Compliance requirements in US and LATAM regions. Experience in financial industry areas requiring Series 7, 63, 3 and RG146 certifications. Successfully managed and competed Internal Audit projects through waterfall and Agile methodologies relating to:Design assessment and testing of controls for compliance with laws, rules and regulatory obligationsDevelopment of testing plans for application of RCSA, including SOX404 controlsAnalysis and testing of firm's supervisory oversight policies and proceduresFinancial Regulatory Gap Analysis including Business and Solution Requirements ImplementationImplementation of Security Based Swaps Rules (SEC)Department of Justice Mortgage SettlementRegulatory Reporting for Equities and Derivatives Products (Mexico)Client Onboarding Controls in Global MarketsCFTC and EMIR Mandatory Clearing RequirementsAsset Servicing OperationsLiquidity Management OperationsTreasury and Payment ApplicationsCommodities, FX, IRP and Equity Derivatives ConfirmationsDerivatives Trading Regulatory Requirements in MexicoBroker Custodian Functions in Brazil