Capital.com

10 months ago

Head of Compliance, Brazil

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 3 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

Website LinkedIn

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Capital.com

10 months ago

Head of Compliance, Brazil

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 3 hours agoStatus: Live

Job Summary

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

Industry: Trading Platforms

Company Size: Large (251 to 1,000 employees)

Growth: Scaleup

Headquarters: London, United Kingdom

Founded: 2016

Website LinkedIn