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Summary

COMPLIANCE OFFICER 

Banking professional with 25 years of expertise in the areas of Compliance, Operations Management, Project Management, Internal Control, and Financial Analysis in Private Banking and Commercial Banking Institutions.

  • Proven managerial and leadership skills
  • Exceptional combination of detail and overall skills. 
  • Excellent analytical, organizational, project management and planning skills.
  • Exceptionally effective bringing projects to successful completion.
  • Strong knowledge of pertinent regulations.

Work History

2007Present

Compliance and Assurance Officer

Standard Chartered Bank Int'l
  • Member of the Private Banking Remediation Team. Performs analysis of Inter Monitoring alerts, specifically designed for the Bank by a Consulting firm.
  • Responsible for Bank Compliance with Bank Secrecy Act, USA Patriot Act, Know Your Customer requirements, Customer Identification Program procedures and  Company policies and procedures.
  • BSA/AML Compliance Monitoring Program activities. Performs especially detailed and comprehensive reviews and analysis of monitoring system generated alerts, and Enhanced Due Diligence compliance reviews of account activity for suspicious and/or unusual activity trends, as well as review of KYC documentation, and submit reports with findings.
  • Back-up of Bank’s Broker Dealer Compliance monitoring.
19992006

Control Supervisor & Operations Manager Assistant

American Express Bank Int'l
  • Supervisor of the Operations Control and Customer Service Department in Operations. Leader of the team in charge of validate all trades executed in the Bank, as well as handle any client’s inquiries derived of any security transaction.
  • Sarbanes-Oxley 404. Asserts as to the effectiveness of the key Controls that impact financial reporting. Responsible for the quarterly testing of 12 financial processes for SOX Compliance.
  • Internal Control – Performs detailed and comprehensive reviews, analysis and interpretation of review findings of control issues, as well to maintain the documentation as part of the Internal Control Evaluation Process (ICEP) to comply with Company policies and procedures.
  • Assist and actively participate with the FED, Internal and External Auditors.
  • Prepare and analyze monthly Key Performance Volumes Indicators for Senior Management.
  • Prepare presentations and perform special reviews for Senior Management.
  • Involved in the test and implementation of the new Bank system (Globus).
19981998

Professor

CEPEBAN

 Professor of Accounting Banking Program  

  • General Accounting and Banking Accounting.
  • Banking Documentation.
19941997

Manager Operations / Star-up

Banco Solventa

Participated as the Operations responsible person in the system parameter definition, implementation and initial tests of the Operations and Internal Control Management at Financiera Atlas – Chile.

  • Act as an inter-departmental liaison to assigned Bank departments.
  • Familiar with all aspects of Bank Operations Management including Personal Loans, Time Deposits, Credit Card, Saving Products, office administration and general business operations.
  • Control of HQ and Branch Operations, Credit, Loan services and Customer Service.
  • Recruited, trained and supervised a team of 25 motivated employees.
19851994

Accounting Officer

Banco de Comercio

Accounting Officer at Financial & Tax Department

  • Supervised and controlled the Bank compliance with tributary duties as per application of the current regulations.
  • Applied analytical abilities, accounting skills and knowledge of income tax laws to determine correct tax liability to achieve corporate goals.
  • Prepared the organization’s annual income tax returns.
  • Prepared and submitted the Bank estimated taxes forecast.
  • Reviewed and prepared consolidated and comparative financial statements for Senior Management.

Education

American Express Bank Int'l

American Express

Bachelor

Universidad Inca Garcilaso de la Vega
Feb 2010Feb 2010

FIBA Annual Money Laundering Conference Miami

Certifications

2016

Associate Member

ACFE
2007

Certified Anti Money Laundering Specilaist

ACAMS

References

Jose A Miranda

"Manuel is a professional with very good analytical skills who is always looking for new challenges. Equally important are his skills as team player and courage to speak up when necessary."

Timothy Myers

"Manuel is a focused, dedicated person who tries to provide the very best service that he can to a particular situation. He has substantial experience in the banking industry including the compliance and operations sectors and would be a welcome addition to any team requiring a mature, experienced bi-lingual (Spanish) professional".

Katia Lung

“Manuel is a hard-working self-starter who always understands exactly what his responsibilities are, and how to get it done quickly and effectively. During his few years in the Operations Department, he was very dedicated to his work and done a good job, Manuel is an excellent professional,”

Catherine Burgos

“After many years of working with Manuel, he continues to demonstrate stong work ethics and values which are essential to the success of any organization. He is extremely reliable, focused, cooperative and eager to get the job done right. I strongly recommend Manuel as he would be an asset to any organization.”

Graeme Haig

“Manuel is a hard working and positive person, experienced, knowledgeable, fair and honest. Stretches himself to meet his own high expectations. A self motivator with a rigorous work ethic who would be an asset to any company looking for a creative and forward thinking talent” December 11, 2009

Sajjad Hussain

“I have worked with Manuel in AMEX, Miami. Although he was in a different area we were always in close communication. I have always heard good things about him from his supervisor. Also I had an opportunity to work with him on a compliance related project. I was a little sceptic as to how much contribution he could make to the project as at that time he had a different line of work. My forebodings were quickly eliminated and within no time he became an invaluable member of the project team. He is an experienced banker and will be an asset to any financial institution.”