Associate Compliance Officer

• Oct 2019 - Present

Implementing regulatory Compliance and corporate governance in Captalys new business.

Compliance Analyst

• Apr 2018 - Present

• Implementing Compliance Program Main pillars: Risk Assessment from the business units, development of preventive actions with focus on Anti Money LaunderingTrainings regarding Ethical Conduct, Anti Money Laundering and Information SecurityElaborating Internal ControlsImproving the company`s Corporate Governance (internal Committees and Charts)• Reviewing internal Manuals and Politics• Third parties Due Diligence• Liason Officer with regulatory agencies (CVM, ANBIMA, ABVCAP) Show less

Compliance Analyst

• Apr 2014 - Feb 2018

I assisted on: • Elaborate and implement Compliance Program; • Implement internal manuals with the subjects Ethics, Training, Registration, Suitability, Anti Money Laundering, Compliance, Internal controls and Risks Management; • Due Diligence on third parts based on Know Your Partner politics, as well as on custodian banks, brokers and assets; • Registration approval of individuals and entities clients based on Know Your Customer politics; • Registration on onshore broker and production of documents to investment fund opening account on offshore broker and credit analysis documentation; • Production of schedule and record from Risk and Compliance Committee; • Production of internal control reports and registration reports requested by regulatory agencies, such as Associação Brasileira das Entidades dos Mercados Financeiro e de Capitais (ANBIMA), Comissão de Valores Mobiliários (CVM) and Central de Custódia e Liquidação Financeira de Títulos (CETIP); • Documents elaboration and analysis involving market risk such as DLO, DRM and DDR to be transmitted to Banco Central do Brasil; • Documents elaboration to internal and onshore and offshore external audit (Cayman Islands Monetary Authority); Show less

Risk, P&L and Compliance Intern

• Mar 2013 - Mar 2014

As an intern my duties used to be: • Back office activities such as company's cash flow control; investment funds and managed portfolios processing such as share calculation; wire transfer for invoice payment; analysis of reports issued by the internal system to be directed to the management area; interface with service providers such as custodian bank, brokers, lawyers and accountant; control of risk factors Value at Risk and Stress; and update on investment funds laminas.

Teacher assistant at didactic laboratory and library, assisting students with english doubts.

• Mar 2007 - Dec 2007