Compliance Analyst

This is a fully remote position, open to applicants in Brazil.

📋 Description

• Perform KYC reviews and client risk assessments, including periodic review forms, and assign suitable risk ratings under the guidance of the Compliance Officer;

• Facilitate the onboarding of new clients and funds, including the execution of AML/CTF/CPF procedures;

• Address KYC and due diligence inquiries from counterparties, prime brokers, administrators, custodians, and correspondent banks, ensuring the timely and accurate provision of the Organisation’s KYC documentation package;

• Update and maintain the Organisation’s KYC documentation package, ensuring that all entity documents, UBO details, and regulatory certificates are up-to-date;

• Observe client activities and escalate any concerns to the Compliance Officer when necessary;

• Assist with FATCA and CRS obligations, encompassing DITC registration, annual reporting, and self-certification reviews;

• Aid in the filing of Economic Substance Notifications (ESN) and assist in evaluating the Organisation’s economic substance obligations;

• Support tasks related to Beneficial Ownership Register (BOR) obligations and annual exemption notifications under the Beneficial Ownership Transparency Act;

• Assist in the timely preparation and submission of Fund Annual Returns (FAR) and other CIMA regulatory filings;

• Help in the preparation of materials for AMLCO/MLRO reports and internal Board Reports;

• Contribute to the development and communication of the risk and compliance framework, focusing on risk mitigation and business risk assessment;

• Aid in reviewing and updating compliance policies in accordance with regulatory changes;

• Contribute to the upkeep of the company’s risk register and risk appetite statement;

• Assist in preparing and updating country risk assessments and the company’s geographical heat map;

• Help maintain compliance with CIMA’s Corporate Governance Rule and Internal Controls Rule, including support for annual governing body reviews and documentation;

• Keep compliance logs and records as mandated by applicable governing regulations and CIMA guidance;

• Monitor regulatory developments and relevant legislative changes, notifying the Compliance Officer of updates;

• Aid in coordinating and conducting internal compliance reviews and monitoring activities;

• Support the implementation of corrective actions to address identified compliance gaps;

• Assist the Organisation in preparing for CIMA onsite inspections, including full-scope and thematic reviews;

• Foster a culture of compliance awareness across the Organisation;

• Assist in delivering staff training on key AML regulations, cybersecurity procedures, and internal policies;

• Help in the preparation of Compliance Letters and support operations with compliance-related workflow enhancements;

⛳️ Requirements

• A university or business degree with a concentration in Finance, Accounting, and/or Law;

• 3–5 years of experience in a compliance role, ideally within an investment management or financial services setting;

• Strong understanding of AML/KYC requirements and best practices, including experience managing third-party KYC and due diligence inquiries;

• A professional compliance qualification (e.g., ACAMS) or active enrollment is a plus;

• Must be registered as a Pessoa Jurídica (PJ) in Brazil (MEI, ME, LTDA, or equivalent) and capable of issuing Notas Fiscais for services provided; this engagement does not establish an employment relationship;

• Excellent written and verbal communication skills, with strong analytical and problem-solving capabilities;

• Proficient in English with a high standard of written communication;

• Organized, detail-oriented, and able to manage multiple tasks independently;

• A proactive approach to work.

🏝️ Benefits

• An energetic and collaborative environment within a growing alternative investment firm;

• Direct exposure to a wide-ranging compliance remit from day one;

• Ample opportunity to take ownership of compliance processes and contribute to a well-managed regulatory environment;

• In-depth involvement in Cayman Islands regulatory frameworks and commodities-focused fund compliance;

• Competitive service fee reflective of experience; engagement structured as a B2B service agreement without an employment relationship or statutory benefits.