Experience

Vanguard Mexico
• Mexico
• Financial Services
• 1 - 100 Employee
• Legal & Compliance, Specialist

  • Apr 2023 - Present


Tribal Credit

• United States
• Accounting

• Jr. Compliance Analyst

  • Jan 2022 - Apr 2023

  🔳 My main responsibilities as Jr. Compliance Analyst were: ✅ Know Your Customer (KYC). It involves a review of applicants prior to approval, ongoing monitoring, and annual renewal. ✅Verification of compliance with anti-corruption laws, highest standards of corporate ethics, conflicts of interest and repetitional risks, among other factors. ✅Analysis and renovation of documents in accordance with the applicable regulation for money laundering and corruption prevention. ✅Creation of internal policies and procedures related to Regulatory Compliance ✅Providing training to new members on relevant Compliance issues, obligations, policies, and procedures. ✅Collaboration with various internal departments to ensure that Regulatory Compliance standards are met. 🏆Achievements: ✅ Creation of training for new employees on Compliance related subjects, including Privacy and Money Laundering prevention. ✅ Establishment of risk prevention policies. ✅ Updating of all client files before there was a Compliance area. ✅ Built several processes from the ground up. Show less



PGIM Real Estate

• United States
• Real Estate
• 700 & Above Employee

• Compliance Analyst

  • Feb 2019 - Jan 2022

  🔳 My main responsibilities as Compliance Analyst were: ✅ Verification, review, and update of Compliance documents to ensure they adhere to relevant AML and Anti-Corruption regulations. ✅ Know Your Customer (KYC). Investigation prior to hiring suppliers or partners, examination of the legal origin of resources, Compliance with anti-corruption laws, corporate ethics, conflicts of interest and reputational risk, among other factors, monitoring and annual renewal. ✅ Follow-up of AML reports of Vulnerable Activities before the SAT. ✅ Creation, implementation, and monitoring of Compliance training to newly recruited personnel on issues such as basic Compliance obligations, Sustainability (+Sustainable Development Goals), ethics, policies and procedures, and conflicts of interest. ✅ Review and approval of marketing regulatory content in accordance with the legislation. 🏆 Achievements: ✅ Creation of content for a continuing Compliance training program at a global level within the organization. Management of the courses in the digital platform. ✅ Development and review of Compliance policies and procedures in accordance with applicable regulations and update existing ones. ✅ I was promoted from an internship to a Compliance analyst position in the company in a short period of time. Show less