Compliance & Operational Risk Specialist –
4 semanas atrás
**Responsibilities**:
- Oversight of changes in local regulations, including advising the Brazil COR team on those changes and directing the appropriate areas to implement or amend policies, procedures/processes to address change in regulations.
- Support the Brazil COR team on the interpretation of laws, rules and regulations.
- Support the Brazil COR team during the identification, escalation and timely mitigation of compliance risks in the country;
- Support the Brazil COR compliance risk assessments performed in the country and contributing to the risk assessment for the region;
- Support the Brazil COR compliance reporting, identifying and aggregating compliance risks/issues for the country;
- Centralize the evaluation of internal audit results, regulator identified issues and advising on remediation required in country;
- Contribute to the development of compliance monitoring & testing plans and policies and procedures;
- Ensure Compliance "owned" issues (i.e., Internal Audit, Regulator and Self-Identified issues) are addressed appropriately and timely;
- Create compliance training coverage plans to address local regulatory needs.
- Primary responsible for the COR coverage of Research and GCIB areas.
Core skills and requirements
- Minimum of 5-10 years of prior experience within Compliance and/or Legal or other correlated areas of Financial Institutions in Brazil more focused on the regulatory framework and interactions with regulators;
- Bachelor degree in Law desirable;
- Ability to manage concurrent activities;
- Ability to work in a very detailed and efficient manner and conduct a risk/reward analysis;
- Ability to effectively build relationships with business partners and local stakeholders;
- Effective oral and written communication skills;
- Fluency in Portuguese and English required.
**Job Band**:
H5
**Shift**:
**Hours Per Week**:
40
**Weekly Schedule**:
**Referral Bonus Amount**:
0
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