Roberto Martínez Email & Phone Number

Mexico City, Mexico

Mexico City, Cdmx, Mx

Mexico City, Mexico

Responsible for the implementation, maintenance and mitigation of operational and conduct risk in Latin America and Canada.Achievements:• Oversee the implementation of the sales materials review and approval process. I participated in the review and approval of more than 400 sales materials which mitigated the risk for not be in compliance with the organization policies and local regulatory requirements.• Coordinated the documentation and establishment of the user access procedure which entailed the review of 23,500 system accesses of 384 sales employees that resulted in the revocation of 384 accesses of 109 employees mitigating the information security risk and the inadequate use of information.• Implemented an action plan that resulted in the reduction of the error rate related to the interaction of customer facing colleagues with prospects and/or clients. This resulted in a reduction of 13.60% in Jan’23 to 2.10% in Dec’23 which improved the customer experience and ensured compliance with regulatory requirements.• Coordinated the implementation of the consequence management process which determined the impact to customer facing colleagues that fail with their responsibilities for not being in compliance with the Conduct Risk – Sales Practices framework. This action resulted in the improvement of the customer experience as well as protecting the Brand

Mexico City, Mexico

Responsible for the management of operational risk programs in Latin America and Canada.Achievements:• Oversaw and approved the implementation of more than 20 preventive controls as well as the closure of 135 compliance risk assessments that improved the control and regulatory environment.• Coordinated the appropriate management and timely closure of 35 operational risk events which resulted in a robust risk reduction and improvement of the control environment.• Approved the update of 4 business continuity plans and their respective calling trees ensuring the business continuity and reducing the customer impact.• Led the update and certification of 6 Risk Control Self-Assessments, ensuring that the controls addressing the risks were the most appropriate to mitigate the risk at acceptance levels.

Mexico City, Mexico

Responsible for the management of operational risk programs in Latin America.Achievements:• Developed the Sales Practices Policy and Procedure for Argentina and Mexico; improving the sales practices framework. • Developed the Sales Practices Training for Argentina and México. Also led the initiative that supported that employees in scope completed the training and assessment on time, which resulted in an improvement of the sales practices and a reduction of the customer impact during sales process.• Implemented the call monitoring programs within 11 sales teams in Argentina and Mexico. This was necessary in order to evaluate that interactions with prospects and/or clients are in compliance with the internal policies and procedures as well as the regulatory requirements of the countries.• Oversee the update and certification of 4 Risk Control Self-Assessments ensuring that the controls addressing the risks were the most appropriate to mitigate the risk at acceptance levels.• Represented the Business Unit that implemented the Tax Reform in Mexico, CFDI 3.3 which allow organizations to be in compliance with the requirements placed forth by the tax authority. This included electronic invoices, payment complements, and credit notes. I managed oversee the appropriate creation of more than 500 electronic invoices.

Mexico City, Mexico

Responsible for the management of operational risk programs in Mexico.Achievements:• Managed the update and certification of 3 Risk Control Self-Assessments ensuring that the controls addressed mitigated the risk at acceptance levels.• Responsible for the launch of a new card product in Mexico from the operational risk perspective using the new product assessment methodology in order to guarantee that the product process and service be in compliance with the internal policies and with the regulatory requirements in the country mitigating appropriately the risk with the implementation of preventive controls. • Led the appropriate management of more than 20 operational risk events that resulted in the improvement of the control environment and the recurrence of the issue.

Mexico City, Mexico

Responsible for Risk and Control Self-Assessment methodology and to provide support to my leader in his role as Compliance OfficerAchievements:• Involved in the implementation of the new internal control and operational risk methodology for Commercial Banking Business Unit that resulted in an improvement on risk management.• Provided guidance to Business on the Risk and Control Self-Assessment methodology. I updated the Risk and Control Self-Assessment for the Account Opening and Account Maintenance. Created process maps for the end to end process identifying the high risks and the control points. • Reviewed more than 500 customer files to validate that the documentation was appropriately retained and in compliance with the regulatory requirements. In addition if issues were identified advised on the action plans to remediate

Mexico City, Mexico

Training and Product Analyst

Mexico City, Mexico

Master'S Degree, Business Administration And Management, General

Bachelor Of Business Administration (B.B.A.), Administración