Manager and Compliance Officer. Roberto led and participated in the establishment of the firm’s specialized Compliance unit. He has extensive experience of over 20 years.
His expertise includes compliance practices for the prevention of money laundering and asset protection in regional banking institutions since 2009. In the banking and insurance sectors, he has worked as an evaluator of information systems within these institutions for over 5 years.
In 2022 and 2023, with the support of AID, he led and developed the Anti-Money Laundering (AML) program for over 20 organizations at a national level. This initiative involved guiding key members of these organizations in implementing and adhering to these programs.
His main responsibilities include ensuring compliance with the regulatory framework regarding Anti-Money Laundering, aiding in onboarding new clients, providing training to the firm’s clients on AML topics, training the staff of the Compliance Unit of any company, assisting in the registration processes with the UIF (Financial Intelligence Unit) for the firm’s clients, and supporting them in developing their action plan for preventing money laundering activities.
He’s responsible for developing internal control procedures, amending internal regulations for the firm’s companies, defining, and maintaining effective Anti-Money Laundering (AML) procedures, and developing and accessing Risk Matrices for the various sectors in which the firm operates. Additionally, he oversees incoming correspondence, responds to, and follows up on «Know Your Customer» (KYC) reports and forms required by regulators and companies.
He reviews new clients against watchlists, provides opinions, reviews and reports regulated transactions generated by the firm’s companies, and presents the Management’s results to the Board of Directors and the Compliance Committee.
Principio del formulario
He has experience in training, workshops, and discussions on Anti-Money Laundering (AML), among which he participated as a Speaker in the Legal Symposium «Advancing Compliance in Central America» held in Costa Rica by the Lex Mundi network, and the Internal Control Seminar in global banking institutions conducted in Frankfurt, Germany.
Roberto has provided training to various types of organizations and international companies in different industries such as banking, insurance, civil society, media, aviation, and other associations and chambers.
He holds a Bachelor’s degree in Computer Science from Universidad Centroamericana José Simeón Cañas (UCA), a Master’s in Business Administration from Instituto Superior de Economía y Administración de Empresas (ISEADE-FEPADE), and a diploma in International Business from Universidad Anáhuac in Mexico. Moreover, in the field of Anti-Money Laundering, he is certified by the Financial & International Business Association as a Certified Professional in Anti-Money Laundering (CPAML).
Additionally, Roberto possesses other studies and certifications that make him a specialist in the field. He engages in annual training to stay updated in Compliance and other related areas within his specialization.