Compliance Manager Position
This role involves overseeing the organization's internal controls system to ensure compliance with relevant laws and standards.
1. Develop, Maintain, and Test Internal Controls: Create, update, and validate the company's internal controls framework to align with regulatory requirements.
2. Compliance Framework Management: Oversee the development and implementation of a comprehensive regulatory compliance framework that includes corporate policies, risk assessments, and audit readiness.
3. Asset Segregation Management: Implement and maintain effective asset segregation procedures in line with Central Bank of Brazil regulations and other related guidelines.
4. Custody and Transfer Control: Establish and manage transfer and custody controls for client and company assets to ensure secure storage and processing.
5. Internal Reviews and Remediation: Coordinate internal reviews and implement remedial actions based on control testing outcomes or regulatory findings.
6. Policies and Procedures: Develop, maintain, and communicate mandatory compliance policies, including third-party risk management and service provider oversight.
7. Liaison and Communication: Foster collaboration with auditors, regulators, and governance bodies on matters related to controls, segregation, and compliance.
8. Compliance Culture: Promote a culture of accountability, transparency, and ethical conduct within the organization by encouraging responsible decision-making and proactive risk management.