Carlos Manuel Echenique

About Carlos Manuel Echenique

A Senior financial operations executive with expertise across IT and Cybersecurity audits, delivering risk mitigation strategies for global investment banks and Big 4 consultancies. Specialized in integrating data-driven audit practices with emerging technology to modernize internal controls and streamline regulatory compliance.Success in leveraging Robotic Process Automation (RPA), Machine Learning, and GRC platforms to drive efficiency, enhance insight, and support audit scalability. The capacity to implement enterprise-wide strategies that align with regional and global regulatory requirements across North America, Europe, Asia, and Latin America.A track record leading high-impact audit engagements, developing sustainable compliance frameworks, and translating complex data into actionable outcomes. Experience spanning across Internal Audit, SOX programs, risk assessments, and audit automation within both advisory and broker-dealer environments.Focused on transformation, efficiency, and long-term growth—fueling technology integration and cross-functional collaboration to enable secure, compliant, and future-ready operations.

Experience

1. Director of Internal Audit

   Evercore

   Mar 2020 — Present · New York, NY, US

   Define compliance parameters around AML, underwriting, conflicts of interest, and risk:o Establish relevant policies and procedures• Drive tech implementation (Diligent, Python, UiPath, etc.) for Internal Audit:o Facilitate core initiatives- E.g. GRC, RPA, machine learning/data analytics- Evaluate tech controls (pre/post implementation):o E.g. ITGC, InfoSec, Change Management• Lead financial, IT, and ops audits across Evercore:o Oversee risk assessments for WM, Trust, Advisory, and Broker-Dealer- Define budget/priorities and liaise with OCC/external auditorso Drive SOX audits- Create reports and summaries• Lead Internal Audit (Mexico)—ensure CNBV compliance:o Report to Audit Committee (Advisory, Fiduciary, BD)o Approve training/supervision of Mexico team leado Align with regulators on inquiries/requirements• Support URM mentorship program development• Advance group tech efforts (RPA, analytics, GRC):o Improve efficiency in Audit, Finance, Corp. Groups- Apply prior use cases• Define Internal Audit strategy to boost efficiency:o Use GRC/data analytics to guide new tech adoption- Train on audit data use globally- Lead tool selection/use case analysis• Expand global audit compliance and corporate growth:o Direct global audits (London, Frankfurt, Dubai, HK, SG)- Lead consultants to ensure complianceo Recommend controls/tech (RPAs, BI) based on audit findings- Flag inefficiencies, propose streamlined solutions• Enhance data access/analytics for Audit:o Improve audit efficiency, allocate data cross-functionally- Implement tools to streamline worko Identify use cases (Audit, Finance, Compliance)- Drive RPA utilityo Support transformation efforts through risk/tech research

Education

• Northwestern University

  Master

• Instituto Tecnológico y de Estudios Superiores de Monterrey / ITESM

  Bachelor of Science in Electronic Systems Engineering

Skills

• Project Planning
• Auditing
• Electronic Engineering
• Sarbanes-Oxley Act
• IT Strategy
• Programming
• Management Consulting
• Team Leadership
• Security
• Innovator
• IT Audit
• Business Intelligence
• Business Analysis
• Internal Controls
• Consulting
• Cross-Functional Team Leadership
• Business Process Improvement
• Risk Management