Head of Compliance, Brazil

Capital.com
São Paulo
Workplace: HybridFull timeFunction: Legal, Risk & ComplianceExperience: 10+ yearsEducation: bachelorsSkills: ["Compliance culture","Regulatory reporting","Regulatory liaison","Risk mitigation","Training"]

Build and run an effective regulatory compliance and AML framework for a securities distributorship firm, ensuring alignment with Brazilian financial services regulations and AML/CTF requirements. Serve as statutory representative to Brazilian authorities, oversee AML/CFT and sanctions compliance, maintain internal controls, and manage regulatory reporting. Partner with senior leaders across legal, finance, operations, and technology to embed a compliance culture, provide staff training, and report progress to executives and the Board.

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FursaFursa
Capital.com
Capital.com
1 year ago

Head of Compliance, Brazil

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Last checked: 13 hours agoStatus: Live

Job Summary

Build and run an effective regulatory compliance and AML framework for a securities distributorship firm, ensuring alignment with Brazilian financial services regulations and AML/CTF requirements. Serve as statutory representative to Brazilian authorities, oversee AML/CFT and sanctions compliance, maintain internal controls, and manage regulatory reporting. Partner with senior leaders across legal, finance, operations, and technology to embed a compliance culture, provide staff training, and report progress to executives and the Board.
Location: São Paulo
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Sr. Director level

Key Responsibilities

  • •Develop, implement, and continuously enhance the compliance framework aligned with business strategy, regulatory obligations (e.g., CMF, UAF), and corporate values.
  • •Act as statutory representative before Central Bank of Brazil (UNICAD), CVM, and other authorities, with oversight of AML/CTF and sanctions compliance.
  • •Oversee the AML/CFT program, including client onboarding, transaction monitoring, sanctions screening, and suspicious activity reporting.
  • •Design and maintain internal control systems to detect, prevent, and respond to compliance issues; monitor and review policies, incidents, and regulatory updates.
  • •Partner across legal, finance, operations, and technology to embed a compliance-driven culture; provide training and deliver updates to executives and the Board.

Key Requirements

  • •Bachelor’s degree in a relevant field such as Law, Finance, Economics, or Business.
  • •10+ years of experience in compliance or regulatory affairs in financial services, preferably capital markets and securities brokerage.
  • •Strong understanding of Brazilian financial services regulations (Central Bank of Brazil and CVM) and an AML/CTF management framework.
  • •Ability to meet the “fit and proper” criteria set by the relevant regulatory authorities.
  • •Decent command of English (minimum B2) and demonstrated ability to liaise with regulators and handle regulatory reporting.
Experience:10+ yearsFinancial servicesCapital marketsSecurities brokerage
Education:Bachelor's
Skills:Compliance cultureRegulatory reportingRegulatory liaisonRisk mitigationTraining
Languages:English

Company Brief

Capital.com
Operates an online trading platform offering CFDs, forex, commodities, indices and cryptocurrencies to retail investors and traders, combining market access with educational content, analytics, and AI-driven insights for informed trading decisions.
Industry: Trading Platforms
Company Size: Large (251 to 1,000 employees)
Growth: Scaleup
Headquarters: London, United Kingdom
Founded: 2016
WebsiteLinkedIn