Only candidates with US Work Authorization will be considered.
Position Overview:
Bradesco Bank is seeking an experienced and strategic Chief Compliance Officer (CCO) to lead the Enterprise Compliance function across Bradesco Bank, Bradesco Investments, and Bradesco Global Advisors in the United States. The CCO serves as a key member of senior management and is responsible for maintaining an integrated compliance framework that supports the firm's growth strategy while ensuring compliance with applicable banking, securities, and investment advisory regulations. The CCO provides independent oversight, regulatory guidance, and effective challenge to business activities while fostering a culture of integrity, accountability, and regulatory excellence across all legal entities. The role serves as the primary compliance liaison with banking regulators, the Securities and Exchange Commission (SEC), and FINRA. The CCO will be also a critical strategic partner to Senior Management, playing a paramount role in supporting the Firm's growth objectives and business strategy while ensuring expansion initiatives, new products, client offerings, and market opportunities are pursued within a robust regulatory, governance, and control environment.
Key Responsibilities
Enterprise Bank Compliance:- Provide enterprise-wide oversight of the Bank's Compliance Management System to identify, assess, monitor, and mitigate regulatory compliance risk.
- Lead and maintain the Bank's compliance framework, including policies, procedures, monitoring, testing, reporting, and governance.
- Advise Executive Management and the Board on compliance risks, regulatory developments, and emerging regulatory trends.
- Conduct compliance risk assessments and oversee issue management and remediation activities.
- Review new products, services, and strategic initiatives to ensure regulatory requirements are appropriately addressed.
- Serve as the primary liaison for banking regulatory examinations, audits, and supervisory reviews.
- Oversee regulatory change management and compliance training programs.
- Partner with Risk Management, Legal, Internal Audit, and business leaders to maintain a strong control environment.
- Coordinate with Financial Crimes and BSA/AML functions to ensure effective oversight of AML, OFAC, anti-bribery, and related compliance risks.
- Establish compliance oversight and monitoring of custody operations and related activities (e.g., SEI).Broker-Dealer Compliance & Supervisory Principal
- Serve as the designated Chief Compliance Officer and Supervisory Principal for Bradesco Investments, ensuring compliance with SEC, FINRA, and state securities regulations.
- Maintain and oversee the Broker-Dealer Compliance Program and Written Supervisory Procedures.
- Maintain required FINRA registrations, including Series 24.Supervise registered representatives and associated persons in accordance with regulatory requirements.
- Oversee sales practices, communications, marketing, suitability, Reg BI obligations, trade surveillance, books and records, and regulatory reporting.
- Review and approve transactions, new accounts, outside business activities, and other matters requiring principal supervision.
- Lead SEC and FINRA examinations, inquiries, and remediation efforts.
- Ensure effective branch supervision and supervisory control testing.
- Provide guidance on securities laws, conflicts of interest, and regulatory developments.
Registered Investment Adviser (RIA) Compliance:
Serve as Chief Compliance Officer for Bradesco Global Advisors and oversee compliance with the Investment Advisers Act of 1940 and related SEC requirements.
Maintain and administer the RIA Compliance Program, including policies, procedures, and annual compliance reviews.
Oversee fiduciary compliance, conflict-of-interest management, and Code of Ethics requirements.
Review advisory activities, client disclosures, marketing materials, and advisory operations.
Monitor personal securities trading and other adviser-related compliance requirements.
Ensure compliance with Form ADV and other regulatory filing obligations.
Oversee compliance monitoring programs covering portfolio management, trading, and client servicing activities.
Support SEC examinations and remediation activities.
Qualifications:
Bachelor's degree in business, Finance, Accounting, Law, Risk Management, or related discipline.15+ years of progressive compliance experience within banking, broker-dealer, investment advisory, or financial services organizations.7+ years of senior leadership experience managing compliance programs and teams. Demonstrated experience interacting with banking regulators, the SEC, and FINRA.Extensive knowledge of U.S. banking regulations, securities regulations, and investment adviser requirements. Strong executive communication, leadership, and stakeholder management skills. FINRA Series 24 License required. Portuguese and/or Spanish language proficiency (preferred).Bradesco Bank provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training. Search for this job, NO EMPLOYMENT AGENCIES, HEAD HUNTERS, EXECUTIVE SEARCH FIRMS OR REPRESENTATIVE CALLS PLEASE.
