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CORP - Compliance Reg. Management - Analyst

Req #: 170117107
Location: São Paulo, SP, BR
Job Category: Compliance
Job Description:
 
Compliance Regulatory Management Analyst works to research and respond to regulatory inquires including regulatory letters and examination document requests. The Regulatory Management Analyst conducts research, validates data, gathers pre-work and on-site regulatory requests, resolves issues and/or works with business units in resolving issues, drafts responses to regulatory requests and examinations and performs follow-up. The Regulatory Management Analyst is knowledgeable in Firm and industry policies/procedures.
 
Responsibilities 
  • Assists with validation and analysis of data, documents, and information delivered to regulatory entities.
  • Works with other departments to draft responses to regulatory examinations.
  • Drive the agenda related to regulatory interactions and exams;
  • Registration and maintenance of records of regulatory reviews and inquiries into corporative systems
  • Interacts and attend meetings with various business units throughout the Firm;
  • Assists Compliance Officer on the preparation and organization of information/support documentation for regulatory audits or eventual inquiries;
  • Controls Licensing & registration regulatory reports;
  • Preparation of regulatory committee agenda and its minutes
  • Bachelor’s degree (or equivalent);
  • Proactive and team oriented with good interpersonal skills;
  • Well organized and able to execute responsibilities;
  • Ability to prioritize multiple tasks and bring tasks to completion within established timeframes.
  • Excellent communication skills - both verbal and written Portuguese and English, Spanish a plus.
  • Good skills with Microsoft Office tools (Outlook/Word/Excel/Access/PowerPoint)..
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