Luis Uzcategui
Kyc Operations Manager
San Jose
Summary
Professional with experience in strategic leadership and operational management. Skilled in driving team collaboration and achieving results through adaptive strategies and clear communication. Proficiencies include project management, financial analysis, and process optimization. Known for reliability, flexibility, and strong focus on delivering impactful outcomes.
Overview
9
9
years of professional experience
17
17
years of post-secondary education
2
2
Languages
Work History
AVP KYC Operations Manager
Citibank NA
09.2022 - Current
- Manage and lead KYC operations, including executing processes in accordance with Citi compliance policies and overseeing the KYC control environment
- Perform program management of existing Business As Usual (BAU)/Refresh process with scope to migrate further functions globally
- Provide people management and development responsibilities and ensure team service level standards are met
- Liaise with Compliance department and senior management within business units supported
- Oversee new client onboarding and implement process enhancements to improve client onboarding experience
- Provide Management Information System (MIS) reporting to senior management and ensure delivery of targets within timelines dictated by BAU and Refresh Program
- Monitor account refresh activity daily to ensure regulatory/document requirements are met
- Perform quality reviews on new client and refresh cases, ensuring a high level of quality before cases are finalized
- Maintain 'Book of Work' for new system releases and enhancements to existing infrastructure
- Has the ability to operate with a limited level of direct supervision.
- Can exercise independence of judgement and autonomy.
- Acts as SME to senior stakeholders and /or other team members.
- Ability to manage teams.
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.
Kyc Operations Intmd Analyst
Citibank NA
08.2021 - 09.2022
- Oversight the timely completion of KYC records within the assigned portfolio, including but not limited to renewal, onboarding and event driven review of records, as well as managing the population of any expired records
- Prepare client-specific KYC-related analysis and oversee completion of Customer Acquisition Due Diligence where required
- Work with the ICG KYC Operations Department to assess documentation requirements for all entities and jurisdictions
- Interact with clients to obtain KYC and other compliance information and documentation
- Take full ownership of the onboarding KYC activities for new clients, by working closely with the BSU to ensure timely on-boarding and reduction of touch points
- Close liaison with case managers and peer client executives around the world to ensure all Country records are remediated in a timely manner
- Assist Coverage team with all KYC related activities (NCOF, NAOF, Credit Only, Client On-boarding, etc.)
- Review and evaluate recent negative news related to clients
- Liaise with internal Compliance personnel on the application of KYC policy
- Liaise with Sales Account Managers to ascertain information on the purpose of client accounts and transaction volumes
- Kick off call with the Coverage team to discuss the appropriate model to be executed
- Interact with clients, parent account bankers, subsidiary bankers and product partners on AML and KYC-related issues
- Work closely with AML Analyst Hub and Client Services units on Additional Information
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards
Risk Analyst 2
Citibank NA
09.2017 - 08.2021
- Conduct client profile reviews for customer accounts
- Review all information and documentation ensuring compliance with local regulation and Citi standards
- Update KYC forms and client profiles according to policy requirements
- Follow up with clients to ensure information is received before due dates
- Perform KYC tasks, including monitoring and tracking of the KYC records and Appendix approval process, assisting with the development and execution of action planning for expiring records, and ensuring records are not past due
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Risk Analyst (Case Manager)
Citibank NA
01.2016 - 08.2017
- Conduct client profile reviews for customer accounts
- Review all information and documentation ensuring compliance with local regulation and Citi standards
- Update KYC forms and client profiles according to policy requirements
- Follow up with clients to ensure information is received before due dates
- Perform KYC tasks, including monitoring and tracking of the KYC records and Appendix approval process, assisting with the development and execution of action planning for expiring records, and ensuring records are not past due
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
Education
Master Business Administration (MBA) - Accounting, Finance, International Business, Human Resources, Management Information Systems, Management Science, Operations Management, Organizational design, Project Management, Risk Management and Strategy
IMF Business School & Universidad Camilo José Cela
07.2014 - Current
Professional training - Talent Management 2.0, Comunication 2.0, Work Enviroment, Recruitment 2.0
IMF Business School
07.2014 - 08.2014
Bachelor´s Degree - Business Management, Marketing research, Business Projects, Administrative audit, Taxes
Facultad de Ciencias Económicas y Sociales (FACES) de la Universidad de Carabobo
09.2008 - 06.2014
Performance Management Professional Diploma - Action plan, Balanced Score Card, KPI´s, Business Strategies, PDCA (plan-do-check-act)
B&D Gestión Empresarial Integral C.A.
Marketing and Sales professional diploma - Marketing and International Business, Marketing Project
Universidad Tecnológica del Centro (UNITEC)
06.2012 - 12.2012
Skills
- Time Management
- Communication
- Organization
- Selling
- Negotiation
- People Skills
- Teamwork
- Interpersonal Skills
- Leadership
- Computer Literacy
- Proficient in Word
- Proficient in Excel
- Proficient in Outlook
- SAP System
- Accounting Applications
Project management
Organizational development
Last Update
06/01/24
Additional Information - Fulfilled Projects
Developed a Balanced Score Card for the Administration department of Laminas y Perfiles del Centro.
Timeline
AVP KYC Operations Manager
Citibank NA
09.2022 - Current
Kyc Operations Intmd Analyst
Citibank NA
08.2021 - 09.2022
Risk Analyst 2
Citibank NA
09.2017 - 08.2021
Risk Analyst (Case Manager)
Citibank NA
01.2016 - 08.2017
Master Business Administration (MBA) - Accounting, Finance, International Business, Human Resources, Management Information Systems, Management Science, Operations Management, Organizational design, Project Management, Risk Management and Strategy
IMF Business School & Universidad Camilo José Cela
07.2014 - Current
Professional training - Talent Management 2.0, Comunication 2.0, Work Enviroment, Recruitment 2.0
IMF Business School
07.2014 - 08.2014
Marketing and Sales professional diploma - Marketing and International Business, Marketing Project
Universidad Tecnológica del Centro (UNITEC)
06.2012 - 12.2012
Bachelor´s Degree - Business Management, Marketing research, Business Projects, Administrative audit, Taxes
Facultad de Ciencias Económicas y Sociales (FACES) de la Universidad de Carabobo
09.2008 - 06.2014
Performance Management Professional Diploma - Action plan, Balanced Score Card, KPI´s, Business Strategies, PDCA (plan-do-check-act)
B&D Gestión Empresarial Integral C.A.
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