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Compliance Manager

  • Sao Paulo, SP
  • Banking/Loans


RSG Brasil Headhunters
São Paulo / SP
Cliente: Segmento de Serviços Financeiros

Cargo: Compliance Manager



Responsibilities:
  • Support the local Compliance Officer in maintaining the Brazilian regulatory framework;
  • Monitor applicable CVM, BCB, B3/BSM and other relevant regulatory requirements;
  • Establish and maintain local Compliance policies and procedures;
  • Develop the local AML/KYC framework and controls;
  • Establish client due-diligence and monitoring procedures;
  • Support transaction/client monitoring activities where applicable;
  • Maintain regulatory calendars and compliance obligations;
  • Coordinate regulatory reporting and information requests;
  • Prepare and maintain internal Compliance reports;
  • Support interactions with CVM, Banco Central, B3, BSM and other relevant institutions when required;
  • Monitor regulatory changes and assess their impact;
  • Establish compliance controls and testing procedures;
  • Coordinate internal compliance reviews and remediation plans;
  • Support the development of internal policies, manuals and procedures;
  • Work closely with Operations, Commercial, Risk, Finance and IT;
  • Coordinate Compliance to ensure consistency between Brazilian and Group frameworks;
  • Identify compliance risks associated with new products, services, partners and commercial initiatives;
  • Support regulatory audits and inspections;
  • Establish Compliance KPIs and management reporting;
  • Develop the short-, medium- and long-term Compliance roadmap;
  • Build and eventually manage the local Compliance team as the business expands.

Requirements:
  • 5+ years of Compliance experience, preferably within a Brazilian CTVM/DTVM, brokerage, bank or other regulated financial institution;
  • Strong knowledge of the Brazilian financial regulatory environment;
  • Strong understanding of AML/KYC requirements;
  • Experience dealing with regulatory obligations and supervisory processes;
  • Familiarity with CVM and Banco Central requirements;
  • Familiarity with B3/BSM requirements is highly desirable;
  • Experience developing Compliance policies, procedures and controls;
  • Ability to establish a Compliance framework in a new operation;
  • Strong analytical and organizational skills;
  • Ability to work with senior management and international Compliance teams;
  • English is highly desirable and preferably strong enough for direct interaction with Group Compliance.
 
Remuneração: Competitive salaries and benefits, We’re a fast-growing, multinational company, Work and learn with industry professions.
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www.rsgbrasil.com.br