Compliance

• Monitor regulations and rules from CVM, ANBIMA and other regulatory bodies applicable to the business;
• Manage the regulatory calendar and track periodic obligations;
• Support authorization, licensing and renewal processes with regulatory and self-regulatory bodies;
• Interact with regulatory entities, responding to official letters, inquiries and requests;
• Participate in AML/CTF (PLD/FTP) committees, supporting risk analyses and formalization of resolutions;
• Execute KYC, KYE and KYP procedures;
• Support communications to COAF when applicable;
• Monitor and enhance AML/CTF programs;
• Manage conflicts of interest and information barriers (Chinese Wall);
• Manage the personal investment policy and blackout periods;
• Support Investment Banking operations from a compliance perspective;
• Review suitability processes and communication materials intended for investors;
• Draft and review policies, manuals, internal procedures and the Code of Ethics;
• Conduct analyses and investigations related to compliance risks;
• Support initiatives related to LGPD (Brazilian Data Protection Law);
• Develop automations and Artificial Intelligence solutions applied to compliance routines;
• Deliver trainings and awareness activities on ethics, integrity and compliance.

Compliance Analyst, Mid-level

• Ensure the methodological integrity, reliability and compliance of research, acting preventively and correctively on operational failures, fraud and process deviations.
• Lead the team of auditors (qualitative and quantitative).
• Design and improve audit and control routines.
• Monitor collection-tool indicators (GPS, timing, audio, response patterns).
• Validate or invalidate interviews based on technical criteria.
• Identify fraud, inconsistencies and operational deviations.
• Create and track data quality and reliability metrics.
• Prepare executive risk and compliance reports.
• Propose structural improvements and work jointly with Operations to correct recurring issues.

Supervisor of Quality and Compliance

• Support the structuring, maintenance and improvement of the Company’s Corporate Governance system, ensuring alignment with shareholder directives and market best practices.
• Support the Governance Secretariat in organizing and managing the activities of the Board of Directors, Advisory Committees and other governance bodies, including preparing agendas, meeting materials, minutes and executive briefs.
• Ensure proper formalization of corporate resolutions, maintenance of corporate books and organization of the Company’s corporate documentation.
• Track and monitor requests, recommendations and action plans arising from Executive Board, Board and Committee meetings, ensuring structured reporting to senior management.
• Manage governance platforms (Board Portals), ensuring document control, audit trail and proper approval and signature workflows.
• Support the management and execution of the Company’s Compliance Program, promoting adherence to the Code of Conduct, internal policies and corporate guidelines.
• Conduct and support internal investigations arising from reports received via the Whistleblower Channel or other channels, ensuring independence, confidentiality and methodological rigor.
• Perform due diligence and background checks on suppliers, commercial partners and strategic third parties, assessing reputational, legal and integrity risks.
• Prepare integrity analyses and reports to support Procurement, Legal and Business areas in decision-making on contracts and partnerships.
• Monitor third parties classified as critical or high risk, ensuring periodic follow-up and recommending mitigating measures when necessary.
• Develop indicators and executive reports related to governance, investigations and due diligence, reporting results to senior management.
• Support the review and update of policies, procedures and governance and compliance instruments, ensuring adherence to applicable laws and corporate best practices.
• Deliver training and awareness initiatives on ethics, integrity and anti-corruption, contributing to strengthening the organization’s compliance culture.
• Act as a strategic partner to internal areas, providing preventive guidance on integrity, governance and third-party relationships.

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Compliance Analyst, Mid-level

Supervisor of Quality and Compliance

Compliance and Corporate Governance Analyst