Membro do conselho

• Aug 2022 - Present

Chief of Compliance and Money Laundering Reporting Officer (MLRO)

• Mar 2022 - Present

Head & partner responsible for:Analyze and approve all relationships, by AML procedures;Monitoring and improvement of KYC, KYE, KYS and KYP controls;Monitor and propose improvements in internal processes to AML;Leading activities and hedging risk indicators for exchange, equity and funds;Take care of internal and external audit;Dealing with regulatory demands related to AML;Configure and maintain monitoring based on key risk indicators, in line with the applicable regulation;Take care of concerns in new products and business' composition;Compliance and reporting of B2B and regulatory due diligence;Compose Material reported to the AML Committee and communications for irregular movement;Audit Service (Internal, External and Regulatory);Teach annual training;Update and disseminate the Internal Standards, such as relevant policies and manuals;Provide legal advice and support to all internal stakeholders and relevant business functions;Manage legal subjects.

Chief of Compliance and Money Laundering Reporting Officer (MLRO)

• May 2020 - Jan 2022

The role is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Markets Division by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses. Support to the Division’s functional (including sales, trading, and capital markets) and product areas while working closely with other firm departments. Cover Global Markets Division personnel (including sales and trading personnel) and provide advice on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations. Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices. Create and implement Compliance training programs. Assist with regulatory examinations, audits and inquiries. Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues. Coordinate with the business, Legal, Technology and other divisions across the firm on new desk initiatives.

Compliance and risk management Analyst

• Aug 2019 - Apr 2020

Participate in the firm’s communications, review process, assist in reviewing promotional material, assist in the compliance oversight of the firm’s supervisory procedures, participates in the completion of the annual compliance audit by the firm’s designated self-regulatory organization, identifies potential areas of compliance vulnerability and risk, develops and/or implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future, maintains prompt and regular attendance and list of responsibilities may not be all-inclusive and can be expanded to include other duties or responsibilities as needed.

Compiance and risk management

• Nov 2018 - Aug 2019

Perform and support AML compliance and operational risk control processes and routines, disseminating the code of conduct andcontingency of the company;Analysis and review of Brazilian and foreign documents of investment fund;Assist in the analysis, review and implementation of Compliance and Operational Risk policies;Support compliance testing and other monitoring activities, among other aspects;Compliance with international regulations and monthly events’ reporting. Perform and support AML compliance and operational risk control processes and routines, disseminating the code of conduct andcontingency of the company;Analysis and review of Brazilian and foreign documents of investment fund;Assist in the analysis, review and implementation of Compliance and Operational Risk policies;Support compliance testing and other monitoring activities, among other aspects;Compliance with international regulations and monthly events’ reporting.

Corporate Lawyer

• Sep 2016 - Oct 2018

Advise on external governance trends, SEC issues, general legal issues and best practices and reviewing and updating as necessary the firm’s governance documents, policies and guidelines. Support timely compliance and reporting obligations. Assist in corporate governance and board matters, including preparation of board materials, minutes and updates to corporate charters and policies Advise on external governance trends, SEC issues, general legal issues and best practices and reviewing and updating as necessary the firm’s governance documents, policies and guidelines. Support timely compliance and reporting obligations. Assist in corporate governance and board matters, including preparation of board materials, minutes and updates to corporate charters and policies

Estagiário

• Mar 2016 - Aug 2016

reserachs, analyzing if some IPOs were correctly registered, analyzing if some Companies public notifications were correctly registered and following administrative procedures judgments. reserachs, analyzing if some IPOs were correctly registered, analyzing if some Companies public notifications were correctly registered and following administrative procedures judgments.

Mesa de operações

• 2015 - Mar 2016

papers publishing, clippings publishing, saling apostilles about M&A cases, full Companies valuation, derivatives, swaps and options studies. papers publishing, clippings publishing, saling apostilles about M&A cases, full Companies valuation, derivatives, swaps and options studies.