Compliance Analyst, Mid-level

This is a fully remote position, open to applicants anywhere in the world.

📋 Description

• Monitor regulations and guidelines from CVM, ANBIMA, and other relevant regulatory authorities that pertain to the business;

• Oversee the regulatory calendar and keep track of periodic requirements;

• Assist with authorization, licensing, and renewal procedures involving regulatory and self-regulatory organizations;

• Engage with regulatory bodies, addressing official correspondence, inquiries, and requests;

• Participate in AML/CTF (PLD/FTP) committees, aiding in risk assessments and the formalization of resolutions;

• Implement KYC, KYE, and KYP procedures;

• Provide support for communications to COAF when necessary;

• Monitor and improve AML/CTF programs;

• Manage conflicts of interest and information barriers (Chinese Wall);

• Oversee the personal investment policy and blackout periods;

• Assist Investment Banking operations from a compliance standpoint;

• Review suitability processes and communication materials aimed at investors;

• Draft and assess policies, manuals, internal procedures, and the Code of Ethics;

• Conduct analyses and investigations related to compliance risks;

• Support initiatives pertaining to LGPD (Brazilian Data Protection Law);

• Develop automation and Artificial Intelligence solutions applied to compliance activities;

• Conduct training sessions and awareness programs on ethics, integrity, and compliance.

⛳️ Requirements

• Bachelor’s degree in Law, Economics, Business Administration, or related fields;

• Experience in Compliance within regulated entities in the financial sector (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);

• Proficiency in English for reading standards and international documents;

• Experience with process automation and the application of AI in Compliance.

🏝️ Benefits

• Not specified