Brazil: Head of Compliance, AML and Risk

1 dia atrás

São Paulo, São Paulo, Brasil capital Tempo inteiro R$13.200 - R$39.600 por ano
The Head of Compliance, AML and Risk will be responsible for establishing and maintaining an effective compliance, AML and risk framework in the securities distributorship firm (Distribuidora de Títulos e Valores Mobiliários), ensuring alignment with applicable Brazilian regulations related to financial services, anti-money laundering (AML) and counter-terrorism financing (CTF) and risk management. This position plays a pivotal role in safeguarding the firm's integrity, reputation, and regulatory standing, while ensuring robust risk mitigation strategies and a strong compliance culture across the business. Responsibilities:
  • Develop, implement, and continuously enhance the company's compliance framework to align with business strategy, regulatory obligations (e.g., CMF, UAF), and corporate values.
  • Act as the company's statutory representative before the Central Bank of Brazil (UNICAD), CVM and other authorities as applicable in relation to the relevant functions and responsibilities, with oversight of AML/CTF frameworks and sanctions compliance.
  • Oversee the company's AML/CFT program, including client onboarding, transaction monitoring, sanctions screening, and suspicious activity reporting, in accordance with local and international standards.
  • Design and maintain robust internal control systems to detect, prevent, and respond to compliance and risk issues. Ensure ongoing monitoring and regular review of policies, incidents, and regulatory updates.
  • Supervise the development and implementation of the enterprise risk management framework, identifying operational, financial, and reputational risks, and driving mitigation strategies.
  • Support the development and execution of crisis response and business continuity protocols to safeguard client and business interests in critical situations.
  • Ensure all client-facing materials and communications adhere to regulatory guidelines and reflect the company's ethical and legal standards.
  • Partner with senior leaders across legal, finance, operations, and technology to embed a risk-aware and compliance-driven culture throughout the organization.
  • Provide training, guidance, and resources to staff on compliance and risk topics. Ensure that all departments are informed and aligned with regulatory expectations and internal policies.
  • Deliver regular updates to the executive team and Board of Directors on compliance performance, regulatory developments, risk exposures, and mitigation measures.
Requirements:
  • Bachelor's degree in a relevant field such as Law, Finance, Economics, Business, Risk Management.
  • Minimum of 5 years of experience in compliance, risk management, or regulatory affairs within financial services, preferably in capital markets and securities brokerage.
  • Strong understanding of financial services laws regulations, the requirements and regulations of the Central Bank of Brazil and The Securities and Exchange Commission of Brazil (CVM), AML/CTF and risk management  framework.
  • Must meet the fit and proper criteria set by the relevant regulatory authorities.
  • Demonstrated ability to liaise with regulatory bodies and handle regulatory reporting.
  • Decent command of English, minimum: B2 level.
Applicants are kindly requested to submit their CV in English, as this version is mandatory for the recruitment process. We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.

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