Trade Surveillance Analyst

JOB PURPOSE 

The Compliance Analyst will be responsible for overseeing and executing compliance monitoring activities to ensure that Hedgepoint's operations adhere to applicable laws, regulations, ethical market standards. This role requires a highly analytical, detail-oriented, and organized professional, capable of working independently, interpreting new regulations, and applying compliance standards across multiple jurisdictions. Primary focus will be on USA (NFA and CFTC rules), with additional responsibility for regulatory requirements in Brazil, Switzerland, Singapore, Dubai, and other relevant markets. 

KEY ACTIVITIES 

• Scope: All Hedgepoint Group entities (Brazil, Switzerland, Uruguay, Singapore, Dubai, etc.), with main focus on U.S. compliance.
  


• Monitoring: Supervise communications (Global Relay, Tuvis, etc.) and detect potential misconduct.
  Trade Surveillance: Design parameters and execute trade reviews for derivatives.
  


• Investigations: Conduct internal investigations, interviews, and issue reports with recommendations, related to the Ethic Line.


• Effectiveness Testing: Perform compliance tests and validate controls.
  


• Marketing Review: Approve promotional materials in line with NFA and Brazilian rules.
  


• Regulatory Analysis: Interpret and apply laws & regulations (focus on NFA/CFTC, U.S. requirements).
  


• Risk Management: Conduct risk mapping, define mitigation plans, and monitor action plans.
  


• Third-Party Oversight: Control U.S. regulatory service providers (contracts, renewals, payments) related to own activities.
  


• Policies & Manuals: Maintain and update compliance manuals, policies, procedures.
  


• KPI/SLA Control: Track compliance KPIs and ensure adherence to SLAs.
  


• Reporting: Prepare reports & presentations for management and committees.
  


• Audits/Examinations: Support NFA/CFTC exams and internal/external audits.
  


• Recordkeeping: Ensure updated documentation and regulatory evidence, in connection with IT department.


• Projects: Execute compliance-related projects across jurisdictions. 

QUALIFICATIONS

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

• 5 years of experience in compliance in financial institutions. 

• Office 365 >> Excel Advanced (pivot table, graphs, VBA), Power Point Advanced, Word Advanced, for daily routine.
  


• Global Relay or other – for daily communication monitoring.
  


• Power BI for dashboard creation and maintenance.
  SQL or other for querying and extracting compliance data from internal databases for investigations. 


• Derivatives / Stocks. 

LANGUAGE

• Fluent English and Portuguese