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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance and risk management within the financial services industry, with a strong focus on liaising with regulatory bodies and developing compliance strategies. Proficient in data analysis and monitoring regulatory indicators to ensure adherence to applicable laws and regulations.
Highest-signal resume keywords
Regulatory ComplianceRisk ManagementData AnalysisRegulatory ReportingLiaison With Regulatory Bodies
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Regulatory AffairsInternal ControlsCompliance MonitoringKPI DevelopmentRegulatory Assessment CyclePolicy DraftingRegulatory Risk IdentificationAction Plan ImplementationFinancial Regulations KnowledgeAML/CTF Compliance
Tools & Technologies
Microsoft ExcelMicrosoft PowerPoint
Certifications & Qualifications
PQo CertificationCEACFGCAMS
Industry Keywords
Financial ServicesInvestment ProductsCapital MarketsCorporate GovernanceGovernance Risk Management
About the role
Key responsibilities & impact- Serve as a liaison with regulatory and self-regulatory bodies, such as the Brazilian Securities and Exchange Commission (CVM), BSM, ANBIMA, and the Central Bank of Brazil (Bacen).
- Oversee action plans and prepare materials for senior management.
- Analyze and monitor regulatory indicators.
- Consolidate the volume of opinions, requests from business partner areas, regulatory updates, regulatory reports, and interactions with regulators.
- Assess the compliance of business-area processes and controls, ensuring adherence to the laws and regulations applicable to investment products.
- Identify regulatory and compliance risks in collaboration with partner areas.
- Propose mitigation strategies and monitor the implementation of action plans.
- Draft, review, and update internal policies, standards, and procedures.
- Review, validate, and monitor the submission of regulatory reports and documents to regulatory and self-regulatory bodies.
Requirements
What you’ll need- Bachelor's degree in Business Administration, Law, Economics, Accounting, or a related field.
- PQO (Operational Qualification Program) certification.
- Prior experience in Compliance, Regulatory Affairs, Internal Controls, or related areas within the financial services industry.
- Experience liaising with regulatory and self-regulatory bodies, such as CVM, BSM, and ANBIMA.
- Knowledge of the regulatory assessment cycle, including oversight of inspections, audits, and action plans.
- Experience developing and monitoring indicators, metrics, and KPIs.
- Knowledge of data analysis and processing to support decision-making and regulatory monitoring.
- Advanced proficiency in Microsoft Office, particularly Excel and PowerPoint.
- CEA, CFG, or CAMS certifications are a plus.
- Graduate degree or specialization in Compliance, Corporate Governance, Risk Management, Internal Controls, or a related field is a plus.
- Knowledge of regulations applicable to the financial and capital markets is a plus.
- Experience with AML/CTF, governance, and regulatory risk management is a plus.
Benefits
Comp & perks- Meal and/or food allowance.
- Health and dental insurance.
- Life insurance.
- Partnerships with TotalPass and ZenKlub.
- Extended maternity and paternity leave.
- Childcare allowance.
- Discounts of up to 50% on graduate programs and MBAs at leading institutions, such as FIA, FAAP, and PUCRS.
- No formal dress code.
- Birthday day off.
- Baby Gift: gift for newborns.