Compliance Analyst

Compliance Analyst

About BCP Securities Group

Founded in 1989, BCP Securities, Inc. is an American brokerage and investment bank focused on fixed income in emerging markets. Headquartered in Greenwich, Connecticut, with offices in strategic cities such as Rio de Janeiro, Miami, Los Angeles, Madrid, Mexico City, and Singapore, BCP is a global benchmark in customized financial solutions. Recognized for its excellence and ethical commitment, the company offers innovative and effective services to meet the needs of clients around the world.

About BCP DTVM

BCP DTVM is a financial institution focused on the origination, structuring, and distribution of financial assets, with a focus on private credit and structured operations. Our activities include an active trading desk in the secondary market, promoting liquidity and transparency for clients.

Expanding from the offshore market to the local market, BCP DTVM combines technical expertise and agility, serving companies, institutional investors, and family offices with solid and innovative solutions. We are the right place for professionals seeking a dynamic and results-oriented environment, contributing to the future of the Brazilian financial market.

Main Responsibilities

• Monitor and evaluate the institution's activities, ensuring adherence to regulatory norms, internal policies, and applicable legislation.
• Participate in the development, review, implementation, and update of Compliance policies, procedures, and internal controls.
• Support the identification, assessment, and mitigation of regulatory and compliance risks.
• Prepare management reports, controls, indicators, and regulatory documentation related to the area's activities.
• Track changes in legislation and regulations applicable to the financial market, evaluating their impacts and supporting the implementation of necessary adjustments.
• Act as a focal point in relationships with regulatory and self-regulatory bodies, including CVM, Central Bank, ANBIMA, BSM, and SUSEP, being responsible for tracking and responding to official letters, inspections, and other regulatory demands.
• Develop and deliver training on internal policies and regulatory topics, such as Anti-Money Laundering and Counter-Terrorist Financing (AML/CTF), Code of Ethics, Suitability, LGPD, Conflict of Interest, among others.
• Perform monitoring activities related to Anti-Money Laundering and Counter-Terrorist Financing (AML/CTF), including the analysis of daily and monthly alerts and reporting of any occurrences.
• Monitor and improve Know Your Client (KYC), Know Your Employee (KYE), and Know Your Partner (KYP) processes, ensuring the effectiveness of due diligence controls.
• Support the response to internal and external audits and regulatory inspections, providing evidence, information, and action plans when necessary.
• Work in conjunction with other areas of the institution, promoting the dissemination of a Compliance culture and supporting the implementation of controls and best practices.

Technical Requirements

• Completed higher education in Law, Administration, Economics, Accounting, or related fields.
• Previous experience in Compliance, Internal Controls, Audit, or Risk Management, preferably in financial market institutions.
• Solid knowledge of the regulation applicable to the capital markets, including norms from CVM, Central Bank, National Monetary Council (CMN), ANBIMA, BSM, and other regulatory bodies.
• Knowledge of AML/CTF, KYC, KYE, and KYP routines.
• Proficiency in the Microsoft Office Suite, especially Excel.

Behavioral Competencies

• Strong analytical skills and critical thinking.
• Organization and ability to manage multiple demands simultaneously, setting priorities efficiently.
• Collaborative profile (team player), with ease in working cross-functionally with different areas.
• Proactivity, attention to detail, and a high sense of responsibility.
• Good oral and written communication skills, with the ability to prepare technical documents and interact with different audiences.

Languages

• Advanced or fluent English will be considered a differential.

Differentiators

• Experience in financial institutions, brokerages, distributors, or investment banks.
• Experience with risk management, internal controls, and corporate governance.
• Knowledge of Compliance and AML/CTF monitoring tools.
• Certifications related to the Compliance, AML/CTF, or financial market areas (such as PQO, CAMS, CRC, among others) will be considered a differential.