Internal Audit Supply Chain

RODRIGO RUFRANCOS ALVAREZ

Mobile:+** - ********* LinkedIn https://www.linkedin.com/in/rodrigo-r-1a1573a/ E-mail: ***********@*****.*** 1

Skills

• Goal-driven leader who maintains a

productive working environment,

coaching employees to meet high

performance standards.

• Results-driven achiever with

exemplary planning and organizational

skills, along with a high degree of detail

orientation.

Internal Audit / Compliance / Operations

Energetic executive with comprehensive background and proven track record in Internal Audit, Fraud Investigation, Operations and Compliance in banks, brokerage house, insurance, fintech, NGO, retail, hotels, and construction with 15+ years of experience. During these years, I have accumulated quite number of achievements and developed a level of seniority level. This has allowed me to support and review products, processes, projects and systems in treasury, risk management, finance and administration, SOX, credit, operations, regulatory matters (AML, compliance, sanctions, capital requirements, information security, IT, cybersecurity, contingency plans, etc.), trust, asset management, insurance, infrastructure, marketing, and inventories. I am full command in Risk Base Approach, Fraud Investigation, COSO, CoBIT, data protection, operational risk, and local regulation in several countries. Also, I implemented several systems and projects, and I participated in the stat up operations of 3 companies, and I implemented the audit department in 5 companies.

• Seasoned professional whose honesty

and integrity provide for effective

leadership and optimal business

relationships.

• Accountability and confidence for

budget management and

implementation of new projects and

process improvement.

• Analytical and critical thinking, highly

adaptable, mobile, positive, resilient,

patient risk-taker who is open to new

ideas.

• Rapid adaptability to new problem-

solving and new locations.

Languages

• English.

• Spanish.

Education

• M. Sc. Degree in Finance (ITESM).

• Mechanical Electrical Engineering

(ITESM).

Courses

• Derivative Products.

• Management Skills.

• SOX 404.

• Risk Base Approach Audit.

• AML, Bribery Act and FCPA.

• Leadership Management.

Teaching Experience

• Lecturer in Operation Management

(Universidad Anahuac Mexico City).

General Data

• Citizenship: Spanish.

Work Experience

HESPERIA WORLD

Head of Internal Audit

AUG24 – Currently

• Responsible for the internal audit of the hotels, implementing Internal Audit department in the company.

• Member of the Compliance Committee to oversight criminal risk and tax risk in the company.

• Direct report to CEO and owners.

Main Achievements:

• Implement the internal audit department and several products and departments. THE VILLA GROUP

Head of Internal Audit

MAR20 – AUG24

Reason to leave the job: Better job opportunity.

• Responsible for the internal audit of the hotels, construction companies and other business.

• Direct report to Board of Directors and owners.

• Reviews in incomes & expenses, projects, inventories, fix assets, suppliers, customer attendance, administration, stores, golf course, airport activities and time share. Main Achievements:

• Implement RBA audit methodology, Internal Control System and Corporate Governance in all business.

• Implementation of contingency plans and cybersecurity measures and the audit reviews. CITI

VP Compliance Testing Global

Functions

NOV20 – JAN23

Reason to leave the job: Voluntary resignation.

• Member of the team of Compliance Global Functions in the bank and tester in charge of the compliance reviews.

• Regulatory reviews in all over the world of compliance matters. Main Achievements:

• Execution on time of the compliance testing plan. BANK OF CHINA

Head of Internal Audit

APR17 – NOV19

Reason to leave the job: Organizational

Restructuring

• Responsible for the internal audit of the Bank in Mexico.

• Direct report to Audit Committee and Head Office with administrative report to the CEO.

• Reviews in credit, investment accounts, credit letters, and IT, Regulatory reviews (risk management, IT, legal, compliance, AML and sanctions), review and sign of the monthly and quarterly financial statements.

• Develops and maintain a quality assurance and implement processes for internal audit.

• Participation in Internal Audit Committee and other bank committees. Main Achievements:

• Implement the internal audit department and several products and departments. Authorization by the regulator for the startup of operations. PAGATODO

Head of internal Audit LATAM

OCT16 – MAR17

FEB13 – DEC13

Reason to leave the job: Better job opportunity,

invitation from the BNY Mellon former CEO.

• Responsible for the internal audit of the companies in Mexico, Latin America and Spain (Bank, Fintech, payment switch, and merchant).

• Responsible for the internal audit of the bank and Fintech.

• Direct report to the CEOs of companies and Audit Committee. Main Achievements:

Implement the internal audit department in Chile, Peru, Argentina, Ecuador and Spain. VISIONFUND INTERNATIONAL

Latin America and Caribbean Internal

Audit Manager

NOV15– OCT16

Reason to leave the job: Better job opportunity,

invitation from the PagaTodo CEO and salary

increase.

• Responsible for the Latin America and Caribbean Region internal audit (NGO, financial services and bank regulatory reviews).

• Direct report to Internal Audit Global Head.

• Member and attendee in the Audit Committee in Mexico, Nicaragua, Guatemala, Honduras, El Salvador, Dominican Republic, Ecuador, Peru and Bolivia.

• Review of the monthly and quarterly financial statements in Latin America countries.

• Coordinate and supervise the local internal audit team of each country.

• Fraud Investigation execution and report.

• Schedule and budget annual audits in the Region. Main Achievements:

• Standardize audit methodology in LATAM region.

SHINHAN BANK

Head of Internal Audit

MAY15–NOV15

Reason to leave the job: Voluntary resignation.

• Responsible for the internal audit of the bank in Mexico.

• Direct report to Audit Committee and Head Office with administrative report to the CEO. Main Achievements:

Implement the internal audit department and several products and departments. J.P. MORGAN CHASE

LATAM Compliance Testing AVP

DEC13 – MAY15

Reason to leave the job: Better job opportunity

with salary increase.

• Responsible for Compliance Testing in Mexico for bank and brokerage house, direct report to LATAM Compliance.

• Regulatory reviews in Argentina, Brazil, Chile, Colombia, Mexico, and Panama.

• Implementation and tracking of compliance monitoring in LATAM.

• Compliance activities as regulatory reports, suspicious activity, AML (screening and transaction monitoring), compliance assessment and regulatory tracking activities. Main Achievements:

• Execution of an additional 100% of the annual plan.

• THE BANK OF NEW YORK MELLON (Bank) – Country Internal Auditor / OCT11 – FEB11

• HSBC (Bank and Insurance) -Sr. Audit Manager / JUN09 – OCT11

• GRUPO HERRADURA OCCIDENTE (Transportation) - Internal Control Manager / NOV07 – JUN09.

• BANCO AZTECA (Bank, retail and insurance) - Audit Manager / JUN02 – OCT07.

• BANAMEX(Bank) -Sr. Internal Auditor/ JAN99 – SEP01.

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