Sergio M. Gutierrez-Luna, B.Eng, Mba Email & Phone Number

Toronto Y Alrededores, Canadá

IB AML Transformation Program – Designed and implemented a robust Enterprise wide system in support of the Customer KYC-AML Lifecycle:o By collaborating with IB Retail & Small Business units, developed the gap analysis for our key international markets (Mexico, Peru, Chile, and Colombia), as well as assisted in the definition of the strategy to ensure baseline compliance of all business lines and its distribution channels.o Developed the Target Operating Model for Retail Management Takeover based on the new AML standard, tested the concept and adapted with feedback from the field. The program was rolled out across the English Caribbean and within 90 days saw the MFR results move from under 60% to over 90% (the acceptable standard). This implementation had $0 cost to the Region (no system development and no increase in staffing) o As a continuous effort derived from the IB AML Transformation Program, Sergio is currently responsible of the gap analysis for the English Caribbean Region (17 countries under scope), which aims to ensure baseline compliance starting Q1 2018.Trusted Advisor to Retail Business Line – supported both IB and country initiatives as SME of the Onboarding Process to guide discussions around the definition of new processes and controls to support the new AML standard.

Toronto Y Alrededores, Canadá

i. STRATEGY: define new vision for positioning the organization in 2020 as an intergenerational and multicultural community hub in Toronto GTA. Apart from revitalizing each operating unit, three main pillars support this strategy: *Responding to Market Demands *Reinforcing Corporate Culture and Values *Achieving Financial ViabilityAs an estimated result, the organization is expected to strengthen its already loyal customer base, while it will break even within 7 years (originally expected 15 years) of opening in a new facility.

i. STRATEGY: Play a key role in defining and executing the financial services framework for leading bank in North America. Work closely with regional and local leaders in planning, executing and keeping track of transformation initiatives across service lines.ii. OPERATIONAL EXCELLENCE: Coordinate joint efforts to standardize the credit & risk operating model at a global scale. Apply management cutting edge methods to assess organizational impact due to implementation and/or upgrade of banking systems. Liaise and engage with Subject Matter Experts to promote change initiatives. Redesign end-to-end processes within vale chain of different industries – Telecommunications, Transportation & Logistics, and Heath & Public Servicesiii. SALES OPERATIONS: Work with Account’s Lead Partners in contributing to cross-industry proposals providing operations management input and credentials information.iv. INTELLECTUAL CAPITAL AND TEAM COLLABORATION: Manage the documentation and distribution of new assets to support business development activities. Design management tools through sharing knowledge among regional peers.

Ciudad De México Y Alrededores, México

Forbes Global 2000 Company - fifth largest bank in Mexico. Its loan portfolio was US$ 35b in 2014.i. PROJECT MANAGEMENT: Managed transformation projects for diverse business units/departments – treasury, change management, credit & risk, AML and compliance.ii. RETAIL BANKING: Gained practical knowledge of banking operations by engaging different Subject Matter Specialists across organization.iii. OPERATIONS: Support business continuity programs, design and develop documentation aimed to key stakeholders.

Master Of Business Administration (Mba), Business Administration, Management And Operations

Activities and Societies: Finalist | Schulich International Case Competition (mining industry) *Secured top 10 finish of 35 global teams.

Bachelor Of Engineering (B.Eng.), Industrial Engineering

Activities and Societies: Co-Director of Institute Management Studies; Member of Engineering and Management Club; Member of National.