Compliance Analyst | Custody Project

Only Candidates with US Work Authorization will be considered.

Scope of Responsibilities:  

• Assist in the design and rollout of a custody program in accordance with applicable regulations.
• Support the drafting and maintenance of policies and procedures related to custody operations.
• Conduct compliance monitoring and testing activities to identify potential risks and ensure adherence to regulatory requirements.
• Collaborate with internal teams including Operations, Legal, Risk, and Technology to support custody-related initiatives.
• Maintain records and assist in reporting obligations related to custody services.
• Provide support in training staff on custody-related compliance topics.
• Provide full support to the CCO, during internal and external audits and reviews from the regulatory agencies. 
• Perform any other task as per the request of the CCO.

Experience: 

• Strong foundation in broker-dealer compliance and custody regulations
• Excellent written and verbal communications skills.
• Be a self-starter, with a strong work ethic and the ability to both research and generate new approaches to problems.
• Ability to multi-task and work under tight deadlines.
• Well-organized.
• Collaborative mindset
• Analytical skills

Education: 

• Associate degree in relevant field preferred; education may be substituted with extensive banking compliance experience and knowledge.
• FINRA SIE
• FINRA Series 7
• FINRA Series 24 (or willingness to obtain)

Language: Spanish and English, Portuguese (not required, but a plus)

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.

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