Juan Luis Pardo Macedo Email & Phone Number

Cancun, Quintana Roo

-Lead and oversee a team of internal auditors to ensure that all SOX controls implemented by Management, work appropriately, as well as do the monitoring of all audit and controls deficiencies, to report on a quarterly basis to Chicago Headquarters. Ensure the highest quality on the Auditdocumentation as per best practices and Audit Standards.- In charge of designing testing approaches to ensure processes are designed and operating effectively.- Provide support during the external assurance work covering controls testing and risk management work

Ontario, Canada

-Lead and oversee a team of control testers to assess controls and monitoring activities (design & operating effectiveness) in different business lines & enterprise functions, as well as ensuring the AML/FT program is well designed and executed across different business lines, conducting testingprocedures as well as quality control reviews in processes such as Onboarding and clients exiting, screening process, due diligence and enhanced due diligence processes in Countries of LATAM & English Caribbean region (Mexico, DR, Chile, Peru, Bahamas, Jamaica, etc).- In charge of Review the Planning Document, working papers, findings & action plans and reports, ensuring quality is embedded into the control testing outcomes through effective coaching to the testing team as well as presenting to Director for approval.- Provide guidance as SME on controls of AML and monitoring activities/control assessment (compliance) that must be evaluated on a quarterly basis for Latin American Countries.- Track of issues raised & action plans for monthly & quarterly updates to management.

- Lead testing SOX controls and a risk-based approach audits under COSO Framework, to evaluate design and operating effectiveness in processes such as Global Procurement Services, TPRM, macro-Stress testing, Financial Notes Disclosures, Depreciations, provisions, Tax deferred, among others.- Perform audit testing including interviews, data extract and analysis, process design assessment and evaluation of internal control efficiency and effectiveness.- Identify and evaluate the company´s risk areas and providing key input to the development of the annual audit plan.- Ensure the highest quality on full audit documentation as per Audit methodology.- Prepare planning document, review audit working papers, prepare audit findings and recommendations and present them to process owners, senior management, and regulators (if required) as well as draft the audit report and close the audit file on a timely manner.- Track and follow up on implementation of recommendations on a quarterly basis to ensure the Issue closure packages contain all information that support the action plans, to make sure the issue can be closed properly (over 15 issues raised as Office in Charge).Achievements:- Identification of relevant findings (+10 issues) in Global Procurement audit & Data Governance, to minimize fraud, collusion, and legal risks.- A SOX review performed for deferred tax process, which allowed us to identify a material difference in financial statement, implementing a future reconciliation process to have more accurate calculations in the following years.

Mexico City Metropolitan Area

-In charge of reviews using Agile methodology, of Financial Group´s risks such as an Interest Rate Risk Banking Book, Liquidity management as well as the internal control of Brokerage and financial markets (F.O. and B.O.).- Prepare audit reports and presentations to Management to communicate objectives, scope, risks, and issues.

México

Provide advisory of internal auditing, governance and internal control assessment, risk management for SMEs as well as preparing financial statements and investment strategies. Independent portfolio advisor in Equity and FX markets with an average of 20% in annual returns.

México, México

- In charge of risk-based audits for Operations and Treasury, Payment systems (SPEI and SPID), Branches, Sales Practices, Risk Management (UAIR), as well as the end-to-end process of Money Market, Equity, Derivatives (31 puntos Banxico), forensic audits, and Annual AML audit, among others.- Attention to Mexican regulators (CNBV, BANXICO, MexDer, BMV) and External Auditors.- Identify and evaluate risk areas and provide key input to develop the annual audit plan.- Prepare planning, working papers review, draft reports with findings and recommendations to present to Sr Management.- Prepare Audit Committee presentations, with progress of annual plan, issues raised and relevant information that must be reported to Committee.- Participate on design and implementation of monitoring tool to generate alerts for unusual/relevant transactions in internal accounts of employees.- Lead and oversight of a multitask team of 6 people, in relevant projects: a) risk-based audits, b) forensic audits, c) design and implementation of monitoring and d) analysis and reduction in refunds to clients.Achievements:- Oversight of full compliance of requirements of BANXICO for derivatives, increasing the rating up to 1.5 pts, getting one of the best rates as a Derivatives Operator, and recovering up to MXN 25 million (85%) of internal frauds.- Save up to MXN 30 million in 3 years, in refunds to clients, due to operational failures in personnel and systems.

Mexico City Area, Mexico

Mexico City Area, Mexico

Mexico City Area, Mexico

Financial Services

Licenciatura, Contador Publico, Canadian Equivalency (World Education Services Canada “Wes”).

Public Accounting Degree

Certificación En Estrategias De Inversión, Figura 3, Certificación En Estrategias De Inversión

Diploma, Top Management

Control Interno Y Evaluación De Riesgos, Control Interno Y Evaluación De Riesgos, Diploma

Evaluación de Riesgos y ambiente del control Interno

Curso Anual De Prevención De Lavado De Dinero, Prevención De Lavado De Dinero