Andy Cervantes
New York,NY
Summary
Performance-driven, creative, and ambitious multilingual professional with 8+ years of experience delivering high-impact work aligning systems with business requirements, policies, and regulatory requirements. Passionate about applying excellent organization and communication skills to manage and lead teams. Results-oriented individual well-versed in interfacing and consulting on business processes to drive results based on sound overall business judgment.
Overview
9
9
years of professional experience
1
1
Certification
Work History
Vice President – Payments Finance & Business Management
J.P. Morgan Chase & Company
12.2022 - Current
- Lead and coordinate strategic planning sessions with regional and global management teams, and key product and tech partners, to develop business plans/roadmaps that help sponsor business efficiency and productivity; monitor and follow up progression of plans
- Design and enhance materials for business reviews and leadership meetings ensuring plans, initiatives, and key deliverables are thoroughly conveyed; work with various business partners to ensure all visions are clearly articulated via reporting/presentations
- Supervise the budget process and define/outline all expectations ensuring global and regional key stakeholders (finance, product and tech leads, sales, marketing, etc.) are involved from beginning to end; ensure deadlines and requirements are met promptly
- Drive key technology and infrastructure projects (e.g
- Location strategy) that help lower expenses and drive business efficiency
- Develop and oversee various business performance metrics that generate business insight and help identify new opportunities; responsible for identifying, escalating, and mitigating risks that hinder the success of the business across Payments
- Manage various senior forums and play key point of contact for all Payments regulatory meetings, town halls, offsites, and key senior leader councils and forums; coordinate with management, aggregate and distribute materials, and take comprehensive meeting minutes
- Work on regional and global ad-hoc projects across product and tech, and visit various Payments locations for assessment of projects.
Vice President – Liquidity Risk Project Manager
Morgan Stanley
06.2021 - 11.2022
- Supervised the Liquidity Risk Department's (LRD's) day-to-day tasks ensuring all critical reports related to the Firm's Liquidity activities (e.g., trading, intraday usage, funding, etc.) were accurately completed, reviewed, and submitted on time
- Collaborated with business units across the firm to assess the adequacy and effectiveness of all liquidity risk management processes by reviewing controls, policies and procedures, governance, and metrics; continuously enhanced processes where gaps were identified
- Developed and updated product limits and Key Risk Indicators (KRIs) to ensure thresholds were in line with firm and market standards
- Created, distributed, and presented high-quality reports to Senior Management that helped drive strategic decision-making
- Executed all liquidity risk compliance reviews ensuring adherence to regulatory requirements and rules (e.g
- Reg
- YY, Reg
- W.)
- Reviewed and updated policies and procedures ensuring consistency and compliance with firm and industry standards
- Managed all regulatory and audit matters and liaised with business units to ensure proper documentation and timely remediations
- Streamlined various manual processes and assisted as needed with team organization and other liquidity risk-related ad-hoc projects.
Senior Associate Director – Risk Assessment Project Manager
UBS
04.2019 - 06.2021
- Supervised the risk assessment program and coordinated training sessions with business units regarding the risk assessment process
- Created comprehensive Business Requirement Documents (BRDs) designed to ensure all business stakeholders involved in the risk assessment process gained a thorough understanding of the objectives, scope, requirements, and timelines
- Analyzed large volumes of client transaction data submitted by business units to ensure alignment with BRDs, and held ongoing discussions to address any data concerns that could hinder the successful execution of the risk assessment
- Assessed the results of the risk assessment, created comprehensive reports to communicate findings to senior management, and provided recommendations on how to improve the efficiency of the risk assessment program
- Maintained an issues tracker and immediately escalated concerns that could delay any phase of the risk assessment, while also ensuring proper actions were taken by the business units to remediate issues
- Streamlined large data sets through data visualization tools (e.g
- Alteryx, Tableau) leading to more efficient processes.
Associate Director – Risk Identification Project Manager
UBS
04.2018 - 04.2019
- Managed the risk identification program for the Investment Bank, Private Bank, and Asset Management by collaborating with each business line and process owner, to ensure they were adequately identifying and assessing their risks in line with firm standards
- Led the quarterly risk identification review and challenge sessions between the first line of defense (process owners) and the second line of defense (risk management) to ensure consensus was achieved on all risks before sign-off and submission to management
- Prepared and presented high-level presentations of the quarterly risk inventory to the Board of Directors and various Risk Committees
- Modernized the risk identification program by collaborating with the technology team in the creation and development of a firm-wide risk warehouse database which streamlined the risk identification process
- Helped launch and supervise the risk identification process at the London office ensuring all new hires were adequately trained.
Senior Associate - Compliance Program Officer (Temporary role)
BTG Pactual
08.2017 - 04.2018
- Developed and implemented a trade surveillance program for best execution in collaboration with third-party vendors
- Reviewed trading activity to identify potential fraud, and conducted ongoing sessions to educate employees breaching the policy
- Directed all compliance training to ensure employees were continuously educated on regulatory and firm requirements
- Monitored employee electronic communication (e.g
- Emails and chats) to ensure employee adherence to policies and procedures
- Performed Know Your Customer (KYC) due diligence screenings to guarantee proper onboarding of clients
- Managed and enhanced all key compliance program initiatives to ensure continuous alignment with industry standards.
Associate (Team Lead) –Risk & Controls Project Manager
J.P. Morgan Chase & Company
03.2015 - 08.2017
- Worked with global business partners in developing a framework to effectively test and monitor client and employee activity related to cross-border, suitability, transactions, expenses, and all client onboarding matters; performed monthly sample testing
- Performed further client and prospect due diligence before onboarding, to mitigate any potential risks related to Anti-Money Laundering (AML), corruption, political exposure, or any other possible negative implications to the firm
- Created and delivered high-level presentations of all testing and client screening findings to the Latin America Chief Executive Officer, Chief Operating Officer, and key business stakeholders, and provided recommendations for streamlining processes
- Managed all regulatory and audit items by continuously updating trackers and ensuring immediate responses to all inquiries
- Liaised with the Operational Risk team during the annual Risk and Control Self-Assessment (RCSA) to ensure the controls in place related to the private bank's activities were effective at mitigating risk, and updated controls where gaps were identified
- Created and updated policies, procedures, and control documents to ensure consistency and alignment with firm requirements
- Supervised, trained, and mentored new team members on all role-related responsibilities and provided support for growth/development.
Education
Master of Science in International Business -
New York University
New York, NY05.2013
Bachelor of Arts in Political Science -
University of California, Berkeley
Berkeley, CA05.2005
Skills
- Anti-Money Laundering
- Business Analysis
- Data Analysis
- Data Visualization
- Rules and regulations
- Business Planning
- Relationship Building
- Project Management
Certification
- Coursera (Offered by Google) – Project Management, 07/01/21
- New York University – Portuguese Language, 05/01/14
- University of Cambridge – Team Management, 09/01/07
Pages
2
Other Skills
Adobe, Alteryx, Bloomberg, Governance, Risk & Compliance (GCR) Tools, Microsoft Office Suite, Oracle, Power BI, SAP, Salesforce, Social Media Platforms, Tableau, Spanish, Portuguese, French, Italian
Volunteer Experience
- FIFA – Doha, Qatar, Doha, World Cup Qatar 2022 Organizing Committee, 11/01/22, 12/01/22, Collaborated with various departments to ensure proper guidance and training was offered to all FIFA participants to drive and promote a fun, inclusive, and safe football environment for all, while effectively managing risk., Designated Team Leader at various venues and responsible for providing key information to team members on how to address and resolve spectator queries and requests while always ensuring to meet their expectations.
- National Olympic Committee (NOC) – Rio de Janeiro, Brazil, Rio de Janeiro, Rio 2016 Olympics Organizing Committee, 08/01/16, 09/01/16, Supported country delegations, athletes and their families, government officials, and other Olympic participants with transportation, accreditation, logistics, and any other needs/requirements in the Olympic Village and at match venues.
- FIFA – Natal & Rio de Janeiro, Brazil, Natal & Rio de Janeiro, World Cup Brazil 2014 Organizing Committee, 05/01/14, 07/01/14, Supported the logistics team to ensure the seamless execution of various events (matches, venues, transportation, fan fests, etc.)., Used my multilingual skills to communicate/assist FIFA personnel, media, athletes, sponsors, politicians, celebrities, and spectators.
Languages
Spanish
Full Professional
Portuguese
Full Professional
French
Professional Working
Italian
Limited Working
Timeline
Vice President – Payments Finance & Business Management
J.P. Morgan Chase & Company
12.2022 - Current
Vice President – Liquidity Risk Project Manager
Morgan Stanley
06.2021 - 11.2022
Senior Associate Director – Risk Assessment Project Manager
UBS
04.2019 - 06.2021
Associate Director – Risk Identification Project Manager
UBS
04.2018 - 04.2019
Senior Associate - Compliance Program Officer (Temporary role)
BTG Pactual
08.2017 - 04.2018
Associate (Team Lead) –Risk & Controls Project Manager
J.P. Morgan Chase & Company
03.2015 - 08.2017
Master of Science in International Business -
New York University
Bachelor of Arts in Political Science -
University of California, Berkeley
- Coursera (Offered by Google) – Project Management, 07/01/21
- New York University – Portuguese Language, 05/01/14
- University of Cambridge – Team Management, 09/01/07
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