Regulatory Affairs jobs in Brazil

The Junior Securities Dealer is responsible for the dealing/execution of capital markets products to fulfill Wealth Management orders providing Wealth Management unit with a wide array of products after performing product due diligence and risk assessment, where required for recommended products.

Responsibilities:

1. Provide services on capital market products/securities
2. Ensures timely execution of securities/funds purchase and sale transactions and accurate capture of all done transactions in the applicable trading platform
3. Scouts the market and recommend ideas that may be offered to clients to provide clients with a wider array of products that will fit their investment/trading needs
4. Facilitates the new product processes to be offered (coordinates the product due diligence and risk assessment)
5. Discusses any issues with stakeholders at all stages of the product due diligence and risk assessment process
6. Conducts post launch reviews on all approved products
7. Conducts ad-hoc and annual reviews to ensure that the product risk levels of all approved products are properly adjusted, if necessary, based on current market conditions and the Branch’s business condition
8. Ensures the policies and procedures in relation to the product due diligence and risk assessment are updated in accordance with prevailing rules and regulations
9. Ensures regulated activity business is operating in accordance with applicable SFA and MAS regulations. Handles queries of regulatory authorities related to the regulated activity business
10. Perform other duties assigned from time to time

Qualifications:

• Bachelor’s Degree(s) up to 3 years’ experience in Finance/Banking with knowledges of Capital Market Products
• Detail oriented and demonstrates thoroughness and strong ownership of work
• Good team player with a strong willingness to participate and help others
• Able to prioritize in a fast moving, high pressure, constantly changing environment; Good sense of urgency
• Advanced MS Excel, VBA, Phyton is a plus.
• Familiar with trading system such as Bloomberg, MarketAxess and core banking platform such as Avaloq is a plus
• FMRP, CMFAS RES1B (previously M1B), CM-EIP (Previously M6), CM-SIP (Previously M6A) and CACS 1 and 2

The candidate must be willing to work onsite and a Singaporean Permanent Resident or Citizen.