Regulatory Compliance Analyst

4 semanas atrás

Campinas, São Paulo, Brasil Hedgepoint Global Markets Tempo inteiro
Overview

The Regulatory Compliance Analyst supports global compliance efforts by executing risk assessments, monitoring regulatory changes, maintaining internal controls, and contributing to training and cross-functional collaboration. The role ensures that Hedgepoint operates in full compliance with applicable laws, financial market regulations, and industry best practices across all jurisdictions.

Key Activities

Activities carried out with a global scope, covering Hedgepoint Group companies in Brazil, USA, Switzerland, Uruguay, Singapore, and Dubai, in accordance with the legal and regulatory requirements of each country and their respective financial market regulators.

Compliance and Regulatory Analysis
  • Monitor and analyze applicable laws and regulations in the countries of operation.
  • Draft legal opinions and action plans for risk mitigation.
  • Conduct legal and regulatory risk assessments.
  • Perform compliance reviews and prepare regulatory reports.
  • Track and consolidate regulatory obligations across all areas, ensuring compliance within regulatory deadlines.
  • Create and review policies and procedures aligned with legal and regulatory requirements.
  • Develop and maintain client onboarding checklists addressing legal and regulatory obligations.
  • Create, review, and update suitability rules in accordance with the regulatory standards of all applicable countries.
Monitoring and Training
  • Conduct compliance testing to ensure adherence to internal and external standards.
  • Develop, update, and deliver training on compliance and regulatory requirements.
  • Provide ongoing support regarding the interpretation of laws and regulations.
Collaboration and Reporting
  • Respond to audits and requests from regulatory authorities.
  • Prepare reports, presentations, KPIs, and support compliance projects.
  • Work closely with business areas to integrate compliance into operational processes.
Qualifications
  • Bachelor's degree in law.
  • Proficiency in regulatory frameworks.
  • Experience with risk assessment and internal controls, policies & procedures, Brazilian Central Bank, CVM, NFA/CFTC.
  • Microsoft Word (write), Excel (graphs and tables), Power Point (presentations), Adobe Pro, Power BI
  • Fluent English, Spanish and Portuguese
  • Experience working in Broker Dealer (DTVM / CTVM) Compliance Departments
  • Tech/ AI innovations.
Location

Campinas, SP - Up to twice a week at the base office (Hybrid)

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