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  • Compliance Officer

  • Location: Brazil, São Paulo
  • Salary: Negotiable
  • Contract: Permanent
  • Ref: RC803530
  • Managed by: Ricardo Chazin
This vacancy has now expired.

Compliance Officer

São Paulo - SP

Financial company, specialized in structured finance operations, aimed at raising capital for corporations and projects through the issuance and distribution of alternative investment securities such as: debentures, incentivized infrastructure debentures, real estate backed securities (CRI), agribusiness backed securities (CRA), real estate investment trusts (FII), private equity funds (FIP), receivables funds (FIDC), amongst others.

Essential Duties & Responsibilities

  • Develop, implement, and manage compliance program for company;
  • Develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
  • Work closely with senior management and internal clients/colleagues to facilitate work and accomplish objectives in accordance with all applicable local and international laws
  • Maintain a thorough and up-to-date understanding of governing regulations (e.g. Brazilian Clean Company Act, U.S. Foreign Corrupt Practices Act, U.K. Bribery Act , Anti-money laundering regulations, U.S. Bank Secrecy Act, and U.S. Securities Enforcement Commission regulations) through ongoing education and involvement with business units
  • Act as ORIX's appointed regulatory liaison, managing regulatory audits and exams in Brazil.
  • Monitor regulatory changes, provide timely and clear guidance to other departments and management on regulatory compliance, monitor and support revisions of current compliance procedures and/or draft new compliance procedures as needed
  • Identify ways to create, enhance, maintain, and test compliance requirements applicable to compani´s operations
  • Perform regular compliance testing and reporting, ensuring all books and records are properly maintained in accordance with applicable laws and regulations
  • Perform compliance-related due diligence for prospective clients and third-party intermediaries and act as an on-going regulatory liaison to our current clients and third-party consultants
  • Draft a variety of certifications, documents, questionnaires, procedures and letters relating to compliance of compani's businesses, their clients, and third-party intermediaries
  • Research issues and questions as necessary to provide competent and reliable advice and direction to senior management and staff on all issues concerning compliance policies, rules, regulations and procedures affecting the Company
  • Provide quarterly updates and compliance reviews regarding to the headquarter in US and Europe.
  • Other related duties as assigned

Report / Contacts

This position has frequent contact with all levels of employees and management. In addition, this role will interact with other subsidiaries and their compliance officers/departments, outside business partners, vendors, consultants, and other office visitors.

Education, Skills, & Experience Required

  • Bachelor's degree
  • 10 years of compliance experience in financial services (will consider audit or similar operational experience in financial services); LATAM experience preferred
  • Background in financial services preferred
  • Knowledge of the Brazilian and International regulatory laws applicable to the business, including anti-bribery and anti-money laundering regulations
  • Ability to identify and analyze complex regulatory issues and their impact on company businesses
  • A positive attitude and consistent temperament; strict adherence to the highest standards of ethics and professional behavior
  • Deadline driven with strong attention to detail
  • Ability to work with minimal direction and learn quickly and independently
  • Excellent organizational, communication, and interpersonal skills
  • Ability to plan, organize, and prioritize assignments and meet established deadlines
  • Ability to manage multiple assignments and projects simultaneously
  • Flexibility and ability to work under pressure with tight deadlines and constant interruptions
  • Ability to adjust priorities in a rapidly changing environment
  • Professional business image and excellent command of English and Portuguese, both verbally and in writing
  • Demonstrated ability to maintain confidentiality of records and to use discretion in the performance of daily activitiesAbility to communicate professionally, both internally and externally with individuals at all levels of an organization

Por favor enviar o CV para

Role managed by: Ricardo Chazin
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