The BTG Pactual Group is a Brazil-based investment bank, asset manager and broker dealer institution with a 30 year history and a strong presence in Latin America, and additional offices in New York, London and Lisbon. BTG Pactual is looking for a Miami-based Compliance Officer who will assist with broker dealer compliance. The US broker dealer business includes wealth management, institutional trading, research and investment banking.  

 

Responsibilities:

• Assist with all compliance policies and procedures for the US broker dealer based upon regulatory requirements, industry practices and established internal controls with a focus on the retail wealth management business. 

• Serve as the US BD AML Officer. Advise on all AML, KYC and related matters including the

review and approval of wires and new accounts. 

• Conduct internal testing, supervision, surveillance, auditing and investigations.

• Assist with regulatory examinations, inquiries, internal audit reviews and related remediation.

• Ensure that all required documentation is maintained by the Firm.

• Provide oversight of legal entities, branch offices, business units and processes.

• Maintain and update written supervisory procedures.

• Review and approve marketing materials.

• Monitor employee compliance with policies and procedures.

• Organize compliance training programs.

• Review and answer client and counterparty due diligence questions.

• Interact with and manage third parties including compliance consultants and external counsel.

• Liaise with internal constituents regarding compliance issues and initiatives. 

Requirements:

• Minimum 5 years related broker dealer experience. Experience at a retail broker dealer is a must.

• Bachelor’s degree required at a minimum.

• FINRA Series 7 and 24 licenses required.

• Certified Anti-Money Laundering Specialist (ACAMS)

• Thorough knowledge of broker dealer regulatory environment required including FINRA, SEC,  

and applicable regulatory guidelines.

• Experience interacting with regulators and assisting with regulatory exams and inquiries.

• Strong communicator, comfortable in presenting and explaining analysis.

• Ability to work with and consult individuals at all levels of an organization.

• Team player with great attitude and work ethic. Interest in working on a global team dealing with 

a global business.

• Strong analytical and critical thinking skills, sound judgment and decision-making skills.

• A results-oriented and resourceful individual who is capable of quickly taking control of his/her 

responsibilities and establishing himself/herself as a credible and creative business partner.

• Language skills including Portuguese and Spanish preferred but not required.