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CORP - Compliance Reg. Management - Analyst

Req #: 170117107
Location: São Paulo, SP, BR
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)
 
Compliance Regulatory Management Analyst works to research and respond to regulatory inquires including regulatory letters and examination document requests. The Regulatory Management Analyst conducts research, validates data, gathers pre-work and on-site regulatory requests, resolves issues and/or works with business units in resolving issues, drafts responses to regulatory requests and examinations and performs follow-up. The Regulatory Management Analyst is knowledgeable in Firm and industry policies/procedures.
 
Responsibilities 
  • Assists with validation and analysis of data, documents, and information delivered to regulatory entities.
  • Works with other departments to draft responses to regulatory examinations.
  • Drive the agenda related to regulatory interactions and exams;
  • Registration and maintenance of records of regulatory reviews and inquiries into corporative systems
  • Interacts and attend meetings with various business units throughout the Firm;
  • Assists Compliance Officer on the preparation and organization of information/support documentation for regulatory audits or eventual inquiries;
  • Controls Licensing & registration regulatory reports;
  • Preparation of regulatory committee agenda and its minutes
  • Bachelor’s degree (or equivalent);
  • Proactive and team oriented with good interpersonal skills;
  • Well organized and able to execute responsibilities;
  • Ability to prioritize multiple tasks and bring tasks to completion within established timeframes.
  • Excellent communication skills - both verbal and written Portuguese and English, Spanish a plus.
  • Good skills with Microsoft Office tools (Outlook/Word/Excel/Access/PowerPoint)..
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