Senior Onboarding and Compliance Processes

PURPOSE OF POSITION:

Analyst will optimize client and partner onboarding by designing, maintaining, and enhancing workflows and digital solutions. Leveraging data analysis and business intelligence tools, this role will streamline registration processes while ensuring strict compliance with applicable laws and regulations.

CORE COMPETENCES:

• Onboarding Systems: Proficiency in onboarding software and digital KYC/KYP solutions to design system requirements, including checklists, forms, flows, etc.) and perform tests for implementation.
• Regulatory: Knowledge of financial regulations and clients documents verifications.
• Process Optimization: Skilled in business process mapping (BPMN) and redesign.
• Risk and Control: Design internal controls for risk mitigation, including policies and procedures for Onboarding.
• Project: End-to-end project management capabilities.
• Data:  Design and implement dashboards, detailed reports, and database integrity for recordkeeping.
• Financial Sector Expertise: Understanding of financial services operations.

MAIN RESPONSIBILITIES:

Design and execute end-to-end onboarding processes for clients and sales partners within financial services, ensuring compliance with global AML, Suitability, KYC, and KYP regulations, as well as internal policies. Support process optimization through requirements gathering, BPMN process mapping, data analysis, and testing and implementation of digital solutions. Produce and maintain client checklists, forms, and customer FAQ documentation. Assess operational risks, establish appropriate controls, develop and maintain relevant policies and procedures, assist the onboarding team, and facilitate effective communication among Compliance, Credit, Legal, IT, and Sales departments for onboarding solutions. Design, test, and deploy compliant and efficient workflows to enhance the overall customer experience.

ACTIVITIES DETAILS:

• Analyze applicable laws, regulations, and internal policies, converting them into clear checklists, forms, and operational procedures.
• Develop and continuously optimize onboarding workflows, including creating flow diagrams and checklists for required documentation.
• Develop, revise, and maintain internal policies, standard operating procedures, manuals, and support materials, including FAQs for clients and partners.
• Integrate regulatory requirements and internal guidelines into onboarding processes (Know Your Client – KYC and partner - KYP).
• Review and understand individuals and corporate documents, to design onboarding verifications and analysis.
• Collaborate closely with Sales, Client Services, Compliance, Legal, and Credit teams to gather necessary documentation and information for electronic KYC and KYP records.
• Identify, assess, and support the onboarding processes ensuring adherence to internal and external regulations.
• Design and implement analytical models, interactive dashboards, and detailed reports to support strategic and operational decisions.
• Configure and maintain onboarding systems, ensuring accurate technical setup.
• Draft technical requirements and perform testing of technology solutions implemented in onboarding-related systems.
• Liaise with key platform partners to align onboarding processes, mitigating risks and delays.
• Create training materials and conduct training sessions for internal teams.
• Ensure integrity, maintenance, and regular updates of client and partner databases, performing audits to ensure data accuracy.
• Stablish controls for documentation and clients' information in accordance with internal policies and regulatory standards.
• Continuously monitor onboarding performance, identify gaps, propose data-driven solutions, and develop structured action plans.
• Register client information into internal systems, monitor account opening requests, and proactively communicate progress to internal and external stakeholders.
• Control and periodically review internal registrations and records, ensuring they are accurate and up to date

EDUCATION/EXPERIENCE: 

• Bachelor's degree (B.S.) or higher in Information Technology, Automation Engineering, Law, Data Engineering, Regulatory Compliance, or related fields from top-tier universities.
• Experience in financial markets.
• Experience with CRM systems and databases (e.g., SQL, Salesforce).
• Proficiency in data analysis.
• Ability to create system requirements and conduct user acceptance testing (UAT).
• Advanced proficiency in Microsoft Office (Advanced Excel; VBA is a plus).
• Knowledge of BPMN and flowchart tools (e.g., Bizagi).
• Familiarity with Python and AI applications for data analysis.
• Fluent English and Portuguese.

LOCATION:
Campinas, SP -  Up to twice a week at the base office in Cambui, Campinas - SP. (Hybrid)

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