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Compliance Analyst, Mid-level
Location
Brazil
Posted
13 days ago
Salary
0
Seniority
Senior
Job Description
Compliance Analyst, Mid-level
Suno
• Monitor regulations and rules from CVM, ANBIMA and other regulatory bodies applicable to the business; • Manage the regulatory calendar and track periodic obligations; • Support authorization, licensing and renewal processes with regulatory and self-regulatory bodies; • Interact with regulatory entities, responding to official letters, inquiries and requests; • Participate in AML/CTF (PLD/FTP) committees, supporting risk analyses and formalization of resolutions; • Execute KYC, KYE and KYP procedures; • Support communications to COAF when applicable; • Monitor and enhance AML/CTF programs; • Manage conflicts of interest and information barriers (Chinese Wall); • Manage the personal investment policy and blackout periods; • Support Investment Banking operations from a compliance perspective; • Review suitability processes and communication materials intended for investors; • Draft and review policies, manuals, internal procedures and the Code of Ethics; • Conduct analyses and investigations related to compliance risks; • Support initiatives related to LGPD (Brazilian Data Protection Law); • Develop automations and Artificial Intelligence solutions applied to compliance routines; • Deliver trainings and awareness activities on ethics, integrity and compliance.
Job Requirements
- Bachelor's degree in Law, Economics, Business Administration or related fields;
- Experience in Compliance within regulated institutions in the financial market (asset managers, consultancies, broker-dealers, distributors or research firms);
- Knowledge of Brazilian financial market regulations;
- Active OAB registration (Brazilian Bar Association);
- Postgraduate degree in Compliance, Financial Market Law or Regulation;
- ANBIMA certifications (CPA-10, CPA-20, CEA or equivalents);
- PQO certification (B3);
- Compliance certifications (CCEP, CIPP/E, LPEC or similar);
- English for reading standards and international documents;
- Experience with process automation and use of AI applied to Compliance.
Benefits
- Not specified
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