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Compliance & Operational Risk Specialist – Laws, Rules & Regulations – Research and GCIB Coverage

Sao Paulo, , Brazil

Job Description:

Responsible for executing the GCOR framework, with focus on developing and maintaining the Regulatory Change and Regulatory Inventory processes, developing GCOR Policies, producing the Risk Assessments and providing support for the interactions with Regulators. Also, be responsible for the COR coverage of Research and GCIB areas.

Responsibilities

  • Oversight of changes in local regulations, including advising the Brazil COR team on those changes and directing the appropriate areas to implement or amend policies, procedures/processes to address change in regulations.
  • Support the Brazil COR team on the interpretation of laws, rules and regulations. 
  • Support the Brazil COR team during the identification, escalation and timely mitigation of compliance risks in the country;
  • Support the Brazil COR compliance risk assessments performed in the country and contributing to the risk assessment for the region;
  • Support the Brazil COR compliance reporting, identifying and aggregating compliance risks/issues for the country;
  • Centralize the evaluation of internal audit results, regulator identified issues and advising on remediation required in country;
  • Contribute to the development of compliance monitoring & testing plans and policies and procedures;
  • Ensure Compliance “owned” issues (i.e., Internal Audit, Regulator and Self-Identified issues) are addressed appropriately and timely;
  • Create compliance training coverage plans to address local regulatory needs.
  • Primary responsible for the COR coverage of Research and GCIB areas.

Core skills and requirements

  • Minimum of 5-10 years of prior experience within Compliance and/or Legal or other correlated areas of Financial Institutions in Brazil more focused on the regulatory framework and interactions with regulators;
  • Bachelor degree in Law desirable;
  • Ability to manage concurrent activities;
  • Ability to work in a very detailed and efficient manner and conduct a risk/reward analysis;
  • Ability to effectively build relationships with business partners and local stakeholders;
  • Effective oral and written communication skills;
  • Fluency in Portuguese and English required.

Job Band:

H5

Shift: 

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

Responsible for executing the GCOR framework, with focus on developing and maintaining the Regulatory Change and Regulatory Inventory processes, developing GCOR Policies, producing the Risk Assessments and providing support for the interactions with Regulators. Also, be responsible for the COR coverage of Research and GCIB areas.

Responsibilities

  • Oversight of changes in local regulations, including advising the Brazil COR team on those changes and directing the appropriate areas to implement or amend policies, procedures/processes to address change in regulations.
  • Support the Brazil COR team on the interpretation of laws, rules and regulations. 
  • Support the Brazil COR team during the identification, escalation and timely mitigation of compliance risks in the country;
  • Support the Brazil COR compliance risk assessments performed in the country and contributing to the risk assessment for the region;
  • Support the Brazil COR compliance reporting, identifying and aggregating compliance risks/issues for the country;
  • Centralize the evaluation of internal audit results, regulator identified issues and advising on remediation required in country;
  • Contribute to the development of compliance monitoring & testing plans and policies and procedures;
  • Ensure Compliance “owned” issues (i.e., Internal Audit, Regulator and Self-Identified issues) are addressed appropriately and timely;
  • Create compliance training coverage plans to address local regulatory needs.
  • Primary responsible for the COR coverage of Research and GCIB areas.

Core skills and requirements

  • Minimum of 5-10 years of prior experience within Compliance and/or Legal or other correlated areas of Financial Institutions in Brazil more focused on the regulatory framework and interactions with regulators;
  • Bachelor degree in Law desirable;
  • Ability to manage concurrent activities;
  • Ability to work in a very detailed and efficient manner and conduct a risk/reward analysis;
  • Ability to effectively build relationships with business partners and local stakeholders;
  • Effective oral and written communication skills;
  • Fluency in Portuguese and English required.

Learn more about this role

Full time

JR-21080877

Band: H5

Manages People:

Manager:

Talent Acquisition Contact:

Fabiana Kawada

Referral Bonus:

0