Requests
5
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Network Power<100 people
Roles
✔️50%
IT
👍50%
Sales & BizDev
🗿50%
HR
Geos
🇮🇳50%
India
🇺🇸50%
United States
Work Background
AstroPaySenior Compliance Advisor
Oct. 2022São Paulo, São Paulo, Brazil · Hybrid- Regional Regulatory: Monitor and anticipate regulatory compliance requirements, translating them into actionable insights for the company.
- Detail-Oriented: Create and maintain company policies, procedures, and controls, with a focus on meticulous compliance documentation and reporting.
- Collaborative Mindset: Foster effective collaboration with internal and external stakeholders, ensuring seamless communication and relationships with regulators, third parties, and legal authorities.
- Risk Analysis: Evaluate business risks and control effectiveness, recommending preventive and corrective actions to minimize potential consequences.
Aqua Wealth Management S.A.Office Manager & Director of Compliance and Risk
Jan. 2020 - Oct. 2022São Paulo Area, Brazil- Member of management committee for the implementation of the company ́s strategic planning.
- As main functions, responsible for the Risk and Compliance Department dealing with local regulators (ANBIMA/CVM).Develop and create new internal policies and procedures, if needed.
- Manage and oversee more than 16 people at branch, perform various functions, ranging from the control and training of the company’s staff to its administration, finances, legal, HR, IT, operations, and sales department.
- Coordinate general administrative functions, in addition to some functions of the finance department, such as accounts payable and receivable and monthly payment. Manage the branch P/L and keep all the expenses and revenue on track. Analysis of operational risks (potential or current) and points of attention.
- Responsible to generate and validate the production and consolidation of the clients’ report.
- Recruit and coach Wealth Management Advisors and Sales Assistants
Titan Capital Gestão de RecursosPartner & Director of Risk Management and Compliance
Feb. 2016 - Dec. 2019São José dos Campos Area, Brazil- Develop and oversee compliance and risk management control systems to prevent or deal with violations of legal guidelines and internal policies.
- Review employees tasks when necessary to identify compliance issues and evaluate their risk awareness. Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance and risk management control.
- Prepare reports and presentations, conduct assessments to define and analyze possible risks and design processes to eliminate or mitigate potential risks.
- Audit processes and procedures.
SuperLucidaFounder and Owner
Nov. 2015 - Sep. 2022São Paulo Area, Brazil- Creator of financial education company, designed to help investors achieve their financial stability, providing individual/family coach sessions or developing a tailor-made program for schools, community, family or institutions.
Self-EmployedBusiness Strategy Consultant
Aug. 2014 - Feb. 2016São Paulo Area, Brazil- Provided advice and suggestions to implement an advisory business in Uruguay. - Formulated and developed a business plan to implement decisions. - Evaluated the situation periodically and made adjustments when needed
RBCProject Manager
Sep. 2012 - Aug. 2014São Paulo Area, Brazil-Responsible to develop special projects at RBC Brazil, such as an advisory desk to provide service and support for financial advisors, new lending product in local currency which investment portfolios in “Reais” were given as collateral.
-Assisted Manager Director in recruiting bankers. - Member of New Product and Risk Committee to approve new products and services.
RBC Wealth ManagementAssistant Complex Manager
Jun. 2008 - Jul. 2012Miami/Fort Lauderdale Area- Responsible for supervising sales and trading related activities for the International Complex branches (NY and Miami) and their employees. Fernanda Martins - page 2
- Review all daily electronic communications.
- Assessed risk in all areas of responsibility and communicate any potential exposure to the complex director.
- Escalated potential problems and concerns to the compliance department, and ensure that all problems were addressed and resolved in appropriate manner. Assist with the coordination of compliance inspections.
- Developed the Complex’s overall budget and actively managed the budget to expected results.
- Actively recruited Financial Advisors for all branches in the Complex (NY and Miami).
Wachovia SecuritiesBranch Productivity Manager
Jan. 2006 - Apr. 2008São Paulo Area, BrazilWachovia Securities acquired Prudential Securities in 2006. - Responsible for driving organic growth by working one-to-one with Financial Advisors in their target market for increasing revenue. Focused on regular coaching sessions, to provide instructions in industry-leading productivity skills and techniques.
- Hold annual business planning sessions with each FA and responsible for supporting the adoption of core initiatives and FA retention efforts.
- Responsible for weekly sales meetings to ensure FA were fully informed of firm strategy.
- Organized several initiatives that could either take form of singular events or longer-terms initiatives.
Prudential FinancialBranch Sales Manager
Oct. 2000 - Jan. 2006São Paulo Area, Brazil- Provided ongoing, timely and effective sales ideas to Branch Financial Advisors in a proactive manner. Worked closely with regional sales manager to execute sales strategy.
- Helped Country Manager to achieve branch performance targets by promoting a strong sales oriented culture.
- Developed deep understanding of research capabilities and current market views; connected to product/sales ideas.
- Had strong command and views on main asset classes: fixed income, global equities, alternative investments, commodities, etc.
- Organized client seminars, in-branch presentations to FAs leveraging third party product vendors. Responsible for educating FAs and helping implement new products, firm initiatives and design portfolio proposals; promoting proper diversification and asset allocation.
- Monitored and tracked product sales in branch.
ComgasCorporate Affairs Leadership
Oct. 1999 - Oct. 2000São Paulo Area, Brazil- Planned and managed all processes related to federal, state and municipal entities, helping the Board of Directors to achieve its corporate goals.
Merrill LynchAssociated Financial Consultant
Jan. 1996 - Oct. 1999São Paulo Area, Brazil- Forecasted customer’s financial necessities and prepared investment portfolios based on their financial needs.
- Developed a business and investment philosophy, identifying the most appropriate products for the clients.
- Built relationship and guided clients, using vast global resources and keeping an eye on the local market Reviewed the performance of client’s investment and loan portfolios, providing them with practical solutions to their financial needs.
- Established an Investment Advisory Group that was created to leverage the valuable time of FA providing proactive advisory services and trading facilities to clients. Managed around U$ 200 million in assets.
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