BW NY - Compliance Officer - Equities

BW Gestão de Investimentos (“BWGI”), is a subsidiary of Brasil Warrant S.A. (“BWSA”), a proprietary capital manager responsible for managing investment funds incorporated in Brazil and abroad.

BWSA is an investment holding company that operates in the banking, agricultural, mining, consumer and infrastructure sectors through companies such as Itaú Unibanco, Alpargatas and Companhia Brasileira de Metalurgia e Mineração (“CBMM”).

BWSA also acts as a family office, managing the financial and commercial interests of the individuals controlling the Holding.

Job Description

We are seeking an experienced and detail-oriented Compliance Officer to join our Compliance team in New York, with a dedicated focus on supporting the Firm’s Equities trading businesses. This role is responsible for ensuring that trading and investment activities comply with applicable regulatory requirements and internal policies. The successful candidate will demonstrate deep technical expertise in equities compliance and proficiency with trading systems (Order Mangement System, Execution Management System). The candidate must have prior experience within a hedge fund or family office environment.

This role offers the opportunity to play a critical part in the Firm’s Global Compliance function, directly supporting a sophisticated and dynamic Equities trading platform, and other strategies trading Equities. The Compliance Officer will gain exposure to a wide range of products and global markets, while working in a collaborative, high-performing environment that values integrity, precision, and excellence.

Key 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.

Qualifications

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 applicable to global equities and compliance oversight across multiple jurisdictions.
• Professional certifications (e.g., CFA, Compliance certifications, or equivalent) are advantageous.