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CORP - Compliance Officer Lead

Req #: 170062213
Location: São Paulo, SP, BR
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)
Assist Latam Compliance Officer on advising LATAM EDG (“EDG”) and Custody Services (“Custody”) businesses, in Brazil, performing the following activities:
  • BAU activities related to the businesses, such as:
    • Guidance on policies and compliance related issues (i.e. client requests, product specific questions, employee certification, etc).
    • Revision of marketing material, due diligences, regulatory reporting, alerts originated by the monitoring/surveillance process, managerial metrics.
    • Execution of Compliance monitoring and producing metrics and managerial information to EDG and Custody. 
    • Execution of routines related to the analysis and follow-up of market developments and new rules/regulations applicable to EDG and Custody.
  • NBI analysis. 
  • Writing policies and procedures under supervision of Latam Compliance Officer.
  • Compliance Risk Assessments.
  • Preparation of training material, organization of training schedules and controls of attendance.
  • Preparation for internal and external audits and regulatory inspections, as assigned.
  • Preferred Compliance experience or other related experience (Audit, Legal, Risk).
  • Technical background on Equities Products (OTC and listed transactions) and Custody for non-resident investors.
  • Ability to write communications (Portuguese and English). Spanish is appreciated;
  • Good interpersonal relationship, team work, analytical and dynamism skills.
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