Data Analyst overseeing data infrastructure and operations supporting Wealth Management. Key liaison with Operations, Finance, and Wealth Management teams for automation and reporting.
About the role
- Compliance Analyst responsible for compliance monitoring across jurisdictions, focusing on financial institutions. Requires analytical skills to interpret regulations and manage compliance activities in multiple markets.
Responsibilities
- Oversee and execute compliance monitoring activities.
- Interpret new regulations and apply compliance standards across multiple jurisdictions.
- Monitor communications to detect potential misconduct.
- Design parameters and perform trade reviews for derivatives.
- Conduct internal investigations, interviews, and prepare issue reports with recommendations.
- Execute compliance testing and validate controls.
- Approve promotional materials in accordance with NFA and Brazilian regulations.
- Interpret and apply laws and regulations with emphasis on NFA/CFTC requirements.
- Perform risk mapping and define mitigation plans.
- Manage relationships with U.S. regulatory service providers.
- Maintain and update compliance manuals, policies, and procedures.
- Track compliance KPIs and ensure adherence to SLAs.
- Prepare reports and presentations for management and committees.
- Support NFA/CFTC examinations and internal/external audits.
- Coordinate with IT to ensure updated documentation and regulatory evidence.
- Execute compliance-related projects across jurisdictions.
Requirements
- Bachelor’s degree in Business Administration, Accounting, Economics, Engineering, Law, or related field.
- MBA or professional certifications preferred.
- Minimum of 5 years of compliance experience in financial institutions.
- Office 365: Excel Advanced (pivot tables, charts, VBA), PowerPoint Advanced, Word Advanced for daily use.
- Experience with Global Relay or similar tools for communications monitoring.
- Proficiency in Power BI for dashboard creation and maintenance.
- SQL or equivalent for querying and extracting compliance data from internal databases for investigations.
- Experience with derivatives and equities (stocks).
- Fluent in English and Portuguese.
Benefits
- Office 365
- Health insurance
- Retirement plans
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Tech skills
Location requirements
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