Compliance Analyst Monitoring and Promotional Material Senior Level

JOB PURPOSE

Responsible for overseeing and executing compliance and monitoring activities to ensure that Hedgepoint’s business is conducted in full compliance with applicable laws, regulations, ethical market standards, and best business practices. The ideal candidate must be highly analytical, detail-oriented, and organized, with the ability to work independently, study new regulations, and apply standards across different jurisdictions, with a primary focus on NFA and CFTC rules and also compliance requirements for Brazil, Switzerland, Singapore, Dubai, etc.

KEY ACTIVITIES

All activities shall be performed across all Hedgepoint Group companies (Brazil, Switzerland, Uruguay, Singapore, Dubai, etc.) but more focused in USA:

• Regulatory Analysis: Identify and interpret applicable laws and regulations for each business unit, proposing actions for implementation and tests to ensure effectiveness, specially in USA.


• Communications Monitoring: Conduct monitoring and supervision of communications (emails, phone calls, etc.) using tools such as Global Relay and Telemessage. Develop compliance reports based on findings, with a focus on identifying any inappropriate behaviors or potential misconduct.


• Review of Promotional Materials: Review promotional and marketing materials to ensure compliance with NFA and Brazilian regulations, ensuring the clarity and accuracy of the information.


• Risk Management: Support the management defining compliance risk strategies. Perform risk mapping and assessments and suggest mitigation plans. and implement controls to ensure compliance with legal, ethical, and internal requirements. Follow-up of action plans constantly, checking evidences of implementations.


• Regulatory Reporting: Prepare and submit regulatory reports for U.S. entities as required by the NFA, including Self-Examination Questionnaire. Annual Questionnaire. Updates and maintenance of 7R, 8R, and 8T forms, other reports required by the NFA and CFTC.


• Service Provider Control: Control and oversee U.S. regulatory service providers, monitoring contract execution, renewals, and payment control, ensuring compliance with the contracts.


• Presentation and Reporting: Prepare presentations and executive reports for management, using tools like PowerPoint, providing detailed data on performance, project status, and compliance insights.


• Audits and Regulatory Examinations: Support regulatory examinations (NFA/CFTC) and internal/external audits by preparing documentation, gathering evidence, and participating in interviews.


• Training Supervision: Plan, develop, and deliver compliance training for employees and track compliance with mandatory requirements.


• Internal Investigations: Conduct internal investigations related to policy violations, preparing detailed and objective reports with action recommendations. Execute internal investigations, interviews and prepare reports very well written.


• Documentation Maintenance: Develop and maintain updated compliance policies, procedures, and reports, ensuring proper recordkeeping in internal databases. necessary for maintaining and updating the compliance manuals for U.S. entities.


• Tests of Effectiveness: Performing compliance tests verifying evidences


• Project execution: Conduct projects across Hedgepoint.


• Presentations: Prepare slides for presentations for the Compliance Committee.


• KPI and SLA: Work with very well-organized data base, and measure Key Performance Indicators (KPIs) for compliance processes, ensuring adherence to Service Level Agreements (SLAs) for analysis and execution timelines.


• Maintenance of Compliance Manuals: Support the development and update of compliance manuals, policies and procedures, ensuring they align with regulatory expectations and internal policies.

QUALIFICATIONS 

Bachelor’s degree in Business Administration / Accounting / Economy / Engineering / Law School / etc. MBA desired.

MANDATORY: Office 365 >> Excel Advanced (pivot table, graphs, VBA), Power Point Advanced, Word Advanced.

MANDATORY: Power BI for dashboard creation and maintenance;

MANDATORY: Experience with communications monitoring tools such as Global Relay and Telemessage (mandatory).

MANDATORY: Artificial Intelligence experienced user.

• Knowledge of global regulations (U.S., Brazil, and Switzerland). Ability to understand and apply laws from different countries and regions.


• Experience preparing regulatory reports as required by the NFA.


• Capability to create and monitor KPIs and SLAs for compliance processes.


• Experience in preparing executive reports and presentations for senior management.

Knowledge of SQL for querying and extracting compliance data from internal databases

EXPERIENCE

• Minimum 5 years of experience in compliance in financial institutions in USA.


• Minimum of 5 years of experience in compliance roles, preferably in the financial sector, with a focus on U.S. regulations (NFA/CFTC) and experience with communications monitoring systems.


• Experience reviewing promotional and marketing materials to ensure compliance with U.S. (NFA/CFTC) and Brazilian regulations, including analyzing clarity, accuracy of information, and adherence to legal guidelines.


• Experience working and controlling regulatory service providers and international vendors, especially in the U.S. regulatory context.


• Experience in implementing systems.

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