Carlos Luciano Rioja García
Guadalajara
Summary
Results-driven audit professional with comprehensive experience in financial analysis and compliance. Expertise in risk management, internal controls, and regulatory requirements. Strong focus on team collaboration and achieving results.
Overview
13
13
years of professional experience
2017
2017
years of post-secondary education
2
2
Languages
Work History
Audit Manager
El Rey del Tornillo S.A. de C.V.
Guadalajara, Jalisco
01.2020 - 12.2024
- Evaluated effectiveness of internal controls by testing key controls across various business units within the organization.
- Implemented risk-based auditing strategies, resulting in better identification of potential issues.
- Gathered and analyzed financial data to determine improvement efforts and reliability.
- Collaborated with management to develop actionable recommendations for improving internal controls and processes.
- Improved client relations by maintaining open lines of communication and addressing concerns promptly.
- Facilitated internal audits and prepared detailed reports on findings.
Audit Manager
Surtidora Departmental-Retail stores
01.2017 - 01.2019
- Review of internal procedures and policies in terms of risk management efficiency
- Execution of internal audits and risk assessments in corporate areas and business units
- Improvement of internal controls to reduce economic losses or frauds
- Audit reports submitted to CEO containing findings, conclusions, and recommended actions under COSO ERM framework
- Decision-making in risk and credit Committees that reduced defaults and frauds
AML Deputy Manager
CIT Group -Banregio Grupo Financiero
01.2014 - 01.2017
- Identification of control gaps in internal risk procedures regarding money laundering (AML) in accordance with local and international regulations
- Review and analysis of Know your Customer, Customer Due Diligence and Enhanced Due Diligence (CDD/EDD) information
- Investigation of unusual activities transactions according to risk thresholds in local system
- Identification of potential customers in sanctions lists, PEPs and adverse media searching
- Participation in risk Committees located in Mexico and United States
- A new anti-money laundering division in the bank implemented in Guadalajara, Jalisco
AML Team Leader
Grupo Financiero Banamex-Citigroup
01.2012 - 01.2014
- Identification and analysis of unusual banking transactions related with anti-money laundering (AML) and frauds aligned with global guidelines and local regulations
- Root cause solutions and UAT testing of new software (eCADD)
- Training and supervision of 10 junior analysts
- Active participation in the development of a new AML area in Mexico
- KPI's 100% receiving an opportunity in Quality Control Area as Team Leader
Education
Postgraduate degree - Finance
Universidad Panamericana (UP)
Guadalajara, Jalisco, Mexico01-2017
Diploma - Financial Risks
Instituto Tecnológico Y De Estudios Superiores De Monterrey
Mexico City, Mexico01-2014
Diploma - Financial Administration
Instituto Tecnológico Y De Estudios Superiores De Monterrey
Mexico City, Mexico01-2013
Diploma - Sarbanes Oxley Law (SOX)
FINDES
International Relations - Business
Instituto Tecnológico y de Estudios Superiores de Occidente (UIA-ITESO)
Skills
Performance improvement
Risk assessment
Audit management
SOX compliance
Internal controls
Financial statement review
MIcrosoft office
ERP Navision Dynamics
ERP Kepler
Data analytics
Timeline
Audit Manager
El Rey del Tornillo S.A. de C.V.
01.2020 - 12.2024
Audit Manager
Surtidora Departmental-Retail stores
01.2017 - 01.2019
AML Deputy Manager
CIT Group -Banregio Grupo Financiero
01.2014 - 01.2017
AML Team Leader
Grupo Financiero Banamex-Citigroup
01.2012 - 01.2014
Diploma - Sarbanes Oxley Law (SOX)
FINDES
International Relations - Business
Instituto Tecnológico y de Estudios Superiores de Occidente (UIA-ITESO)
Postgraduate degree - Finance
Universidad Panamericana (UP)
Diploma - Financial Risks
Instituto Tecnológico Y De Estudios Superiores De Monterrey
Diploma - Financial Administration
Instituto Tecnológico Y De Estudios Superiores De Monterrey
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