BW Gestão de Investimentos (Brasil Warrant Investimentos) · 3 months ago
BW NY - Compliance Officer - Equities
New York City, New York, United States
Full-time
Onsite
Senior Level
7+ years expBW Gestão de Investimentos is a subsidiary of Brasil Warrant S.A., responsible for managing investment funds. They are seeking an experienced Compliance Officer to ensure that trading and investment activities comply with regulatory requirements and internal policies, specifically focusing on the Equities trading businesses.
Financial Services
Responsibilities
Review, assess, and approve compliance-related requests and activities across the Equities businesses
Conduct wall crossing procedures and perform checks against the Restricted List
Provide compliance oversight and approvals for participation in Private Placements, Initial Public Offerings (IPOs), Follow-On Offerings, and Registered Block Trades
Update and maintain the firm’s 'Do Not Short' List with accuracy and timeliness
Review and approve new products, countries, and jurisdictions for trading activity
Evaluate and approve custom baskets
Partner with investment, trading, and operations teams to provide timely compliance guidance and approvals
Document compliance reviews, approvals, and processes in accordance with regulatory expectations
Contribute to the ongoing enhancement of the firm’s compliance program, policies, and controls related to Equities
Qualification
Required
Undergraduate degree required; graduate degree preferred
7–10 years of compliance experience, with a strong background in Equities trading
Prior experience in a hedge fund or family office environment
Hands-on experience with trading systems and compliance workflows
Demonstrated expertise in managing restricted lists, wall crossings, and transaction approvals
Strong teamwork and collaboration skills, with the ability to work effectively across functions
Excellent written and verbal communication skills, with the ability to convey complex compliance matters clearly
Strong problem-solving skills and ability to anticipate and mitigate potential compliance risks
Proven ability to work in a fast-paced environment and provide timely responses to business needs
High level of integrity, discretion, and sound judgment in decision-making
Preferred
Knowledge of regulatory requirements across jurisdictions, and primarily in the U.S. and Brazil
Professional certifications (e.g., CFA, Compliance certifications, or equivalent) are advantageous
Company
BW Gestão de Investimentos (Brasil Warrant Investimentos)
Brasil Warrant is a wholly-owned private holding company of the Moreira Salles Group, which has historically formed significant partnerships and investments across various sectors and geographical regions over the course of seven decades.
51-200 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase