Ricardo Jimenez Barron
St. Petersburg,FL
Summary
Risk Manager with 16 years of experience; worked in the Financial, Accounting and Insurance sectors focused in Risk based and Regulatory reviews for Consumer Technology, Corporate and Investment Banking and Global Banking & Markets businesses in the US, Mexico and Latin America.
Overview
19
19
years of professional experience
1
1
Certification
Work History
SVP – ORM Data Risk Officer - Private Banking
Citibank
Tampa, FL
12.2022 - Current
- Responsible for data risk coverage (Data Governance, Data Architecture and Data Quality Management) across Private Bank US entities and global divisions and functions: USPB, CPB, Wealth and Chief Data Office (CDO).
- Collaborate with Group CDO (Chief Data Office), and divisional and functional CDOs, and oversee the development of Group CDO’s data governance policies and standards, data quality management framework and data architecture standards and guidelines
- Oversee the development of the firm’s regulatory reporting policy (data risk related sections on data providers and report owners), drive strategic integration of the regulatory reporting policy and CDO data governance policies and standards.
- Responsible for validating closure data risk related MRAs/MRIAs, Issue validations incl. long standing regulatory issues regarding the Bank’s data architecture and data quality management supporting regulatory reporting.
- Representing ORM to directly interact with Internal Audit to answer data risk related inquiries, incl. IA’s data risk assessment, audit approach, and IA raised issues.
- Provide data risk SME guidance to the business of coverage providing inputs for control adoptions Key Risk Indicators (KRI), Scenario Analysis, Material Risk Indicators (MRI), etc.
- Responsible to assess and challenge adherence with policies/standards (e.g., data quality) and adoption of data governance capabilities and initiatives with the data governance program.
- Responsible to assessing 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.
SVP – ORM Data Risk Officer - Mexico & LATAM
Citibanamex
Mexico City, Mexico
04.2020 - 12.2022
- ORM Risk Officer performing preventive actions to manage Data risk across Mexico and Latin America regions to mitigate operational risks and significant vulnerabilities that may arise within the business activities.
- Responsible for data risk coverage (Data Governance, Data Architecture and Data Quality Management) across Mexico and LATAM entities and global divisions and functions.
Responsible for validating closure data risk related MRAs/MRIAs, Issue validations incl. long standing regulatory issues regarding the Bank’s data architecture and data quality management supporting regulatory reporting. - Representing ORM to directly interact with Internal Audit to answer data risk related inquiries, incl. IA’s data risk assessment, audit approach, and IA raised issues.
- Provide data risk SME guidance to the business of coverage providing inputs for control adoptions Key Risk Indicators (KRI), Scenario Analysis, Material Risk Indicators (MRI), etc.
- Responsible to assess and challenge adherence with policies/standards (e.g., data quality) and adoption of data governance capabilities and initiatives with the data governance program.
- Responsible to assessing 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.
VP - Audit Manager - ICG Global Markets
Citibanamex
Mexico City, Mexico
03.2015 - 11.2017
- Performed Internal Audit program for Citibanamex Institución de Banca Múltiple (Bank) and Citibanamex Casa de Bolsa (Brokerage House) for ICG Markets and Operations focusing in Equities, Derivatives, Fix Income, FX, electronic and algorithmic trading, Middle Office and Back Office activities. Leading teams of 4-12 individuals with diverse expertise, managing the interaction with the audited units.
- Participation in Brokerage House Audit Committee presenting different topics as required by local authorities (Banxico and CNBV). Actually, implementing a scheduler tool for ICG teams for smart resource designation.
Associate
J.P. Morgan Mexico
Mexico City, Mexico
03.2015 - 11.2017
- Performed Internal Audit program for J.P. Morgan Institución de Banca Múltiple (Bank) and J.P. Casa de Bolsa (Brokerage House). Audits include evaluations focused on Risk based and Regulatory compliance for Mexican Legal Entities, specialized in the following products: Fixed Income, Derivatives, Equities and different products in the Markets Desk. Assessing risks, and evaluating control designs and executing audit testing. Identified and assessed the impact of control deficiencies, identifying audit findings and to recommend action plans reinforcing the control environment.
AVP Senior Auditor Quality Assurance
Citibanamex
Mexico City, Mexico
11.2013 - 02.2015
- Provide advisory to the Internal Audit group maintaining appropriate standards of internal audit delivery providing Quality Assurance process for Risk based and regulatory audits for Global Markets and Consumer audits in Mexico. The role involved partnering with Citi Chief Auditors for Global Banking & Markets, Finance and Corporate Functions as well as close liaison with Global Audit teams to ensure appropriate understanding and application of Internal Audit methodology.
Other responsibilities included: Providing day to day support and guidance to auditors on methodology-related matters; Promoting knowledge sharing and promulgation of best practices across Internal Audit; Drive maturity of Post Mortem and any forward-looking processes implemented to facilitate the identification and escalation of control issues in advance of regulator or external audit identification and assess action plans taken by management avoid re-occurrence.Compliance cross-border lead for the LOBs we cover in the region interacting with global groups. Responsible for the Physical segregation analysis in Mexico. Compliance testing focused in Mexican regulation (RINO, RINO II and Sales practices), Compliance surveillance system implementation (Actimize) for Market Abuse and derivatives transactions monitoring and unusual activity.
Compliance Officer - Global Banking and Markets
HSBC Mexico
Mexico City, Mexico
11.2010 - 11.2013
- Compliance advisor for Global Banking & Markets (IB, ECM, DCM, M&As, and Research) in Latin America countries, point of contact with control room for Latin America employees located in Mexico City. Compliance of corporate policies and procedures related to conflict of interest, barriers of information, price sensitive operation information, disclosures and disclaimers and regulatory requirements for the Bank and Brokerage house. Follow up of new regulations related to Global Banking & Markets. Double reporting to Mexico Compliance and Regional Compliance heads. Compliance cross-border lead for the LOBs we cover in the region interacting with global groups. Responsible for the Physical segregation analysis in Mexico. Compliance testing focused on Mexican regulation (RINO, RINO II and Sales practices), Compliance surveillance system implementation (Actimize) for Market Abuse and derivatives transactions monitoring and unusual activity.
Insurance Manager
HSBC Insurance
Mexico City, Mexico
06.2008 - 06.2010
- Responsible of HSBC Insurance claims accounting management, Attended internal and external audits with satisfactory results.
- Regulatory reporting to CNSF (local insurance regulator)
Audit Supervisor
KPMG Mexico
Mexico City
06.2005 - 06.2008
- Performed Audit testing focused in Financial Services, SOX, US GAAP, IFRS and Mexican regulation, performed risk analysis for key processes for Financial Services and Development of Audits reports (findings and recommendations).
Education
Master of Finance - Accounting And Finance
Universidad Del Pedregal
Mexico06-2012
Certification - Risk Management
Financial Risk Management
Universidad Tecnologica De Mexico (UNITEC)08-2008
Bachelor of Accountancy - Accounting And Business Management
Escuela Bancaria Y Comercial
Mexico City07-2006
Skills
- Operations Risk Management
- Control Management
- Data Management
- Financial Reporting
Languages
English
Professional
Certification
- Certified Internal Auditor
- Certified Internal Security Auditor
- Certified Anti-Money Laundering Specialist (CAMLS)
References
References available upon request.
Timeline
SVP – ORM Data Risk Officer - Private Banking
Citibank
12.2022 - Current
SVP – ORM Data Risk Officer - Mexico & LATAM
Citibanamex
04.2020 - 12.2022
VP - Audit Manager - ICG Global Markets
Citibanamex
03.2015 - 11.2017
Associate
J.P. Morgan Mexico
03.2015 - 11.2017
AVP Senior Auditor Quality Assurance
Citibanamex
11.2013 - 02.2015
Compliance Officer - Global Banking and Markets
HSBC Mexico
11.2010 - 11.2013
Insurance Manager
HSBC Insurance
06.2008 - 06.2010
Audit Supervisor
KPMG Mexico
06.2005 - 06.2008
Master of Finance - Accounting And Finance
Universidad Del Pedregal
Certification - Risk Management
Financial Risk Management
Bachelor of Accountancy - Accounting And Business Management
Escuela Bancaria Y Comercial