
Brazil Compliance Specialist
Há 14 horas
In 2003, regulatory bodies announced a global settlement with investment banks regarding certain practices. As part of the settlement, all pre-approved communications between departments must be monitored by a Compliance Officer.
The Brazil Compliance team assists in independent compliance oversight of Brazil Investment Banking and Research activities, aligning with the Compliance Risk Management Program and Global Settlement regulation.
- Engage with other Compliance officers to provide oversight of Brazil Investment Banking and Research activities
- Chaperone communications to ensure independence and integrity of the research function
- Provide guidance on research matters to management teams and other roles
- Coordinate research wall crossings and vetting processes
- Review communications and conduct compliance assessments
The ideal candidate will have 5-10 years of experience in Compliance & Operational Risk, relevant experience working in control room functions, and strong communication skills.
This role requires fluency in Portuguese and English, with Spanish being a plus. A flexible perspective and problem-solving skills are essential for success in this position.
Responsibilities:
- Conduct regular risk assessments and develop mitigation strategies
- Develop and implement policies and procedures to ensure compliance
- Collaborate with cross-functional teams to achieve business objectives
- Identify and report potential risks and concerns
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