Compliance Analyst, Mid-level

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🕒 May 29

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Suno

WebsiteLinkedInAll Job Openings

201 - 500 employees

Founded 2016

💸 Finance

💳 Fintech

Finance • Fintech • Wealth Management

Suno is a financial services company that provides investment consulting and wealth management solutions. They offer personalized investment plans, courses, and resources aimed at helping individuals maximize their investment potential. Suno emphasizes the importance of strategic investing through analysis and education, guiding clients in navigating the financial markets to achieve their financial goals.

📋 Description

• Monitor regulations and rules from CVM, ANBIMA and other regulatory bodies applicable to the business; • Manage the regulatory calendar and track periodic obligations; • Support authorization, licensing and renewal processes with regulatory and self-regulatory bodies; • Interact with regulatory entities, responding to official letters, inquiries and requests; • Participate in AML/CTF (PLD/FTP) committees, supporting risk analyses and formalization of resolutions; • Execute KYC, KYE and KYP procedures; • Support communications to COAF when applicable; • Monitor and enhance AML/CTF programs; • Manage conflicts of interest and information barriers (Chinese Wall); • Manage the personal investment policy and blackout periods; • Support Investment Banking operations from a compliance perspective; • Review suitability processes and communication materials intended for investors; • Draft and review policies, manuals, internal procedures and the Code of Ethics; • Conduct analyses and investigations related to compliance risks; • Support initiatives related to LGPD (Brazilian Data Protection Law); • Develop automations and Artificial Intelligence solutions applied to compliance routines; • Deliver trainings and awareness activities on ethics, integrity and compliance.

🎯 Requirements

• Bachelor's degree in Law, Economics, Business Administration or related fields; • Experience in Compliance within regulated institutions in the financial market (asset managers, consultancies, broker-dealers, distributors or research firms); • Knowledge of Brazilian financial market regulations; • Active OAB registration (Brazilian Bar Association); • Postgraduate degree in Compliance, Financial Market Law or Regulation; • ANBIMA certifications (CPA-10, CPA-20, CEA or equivalents); • PQO certification (B3); • Compliance certifications (CCEP, CIPP/E, LPEC or similar); • English for reading standards and international documents; • Experience with process automation and use of AI applied to Compliance.

🏖️ Benefits

• Not specified