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Base Exchange

Offers institutional trading and post-trade infrastructure

Legal Compliance Specialist

Regulatory Compliance & EthicsConfirmed live in the last 24 hours
Full-timeRio de Janeiro, State of Rio de Janeiro, BrazilNo salary listedIn-person

About the Job

Requirements

  • Completed higher-education degree in Law.
  • Experience in regulatory governance, compliance, and/or legal-requirements management.
  • Knowledge of methodologies for managing corporate policies and compliance.
  • Ability to communicate and engage with different stakeholders.
  • Analytical, organized, and process-oriented profile.

Responsibilities

  • Manage the lifecycle of corporate regulations—including policies, regulations, manuals, procedures, and other institutional documents for internal and external audiences—by coordinating drafting, review, approval, publication, and updating processes.
  • Ensure consistency, standardization, and harmonization across the company's normative documents.
  • Serve as guardian of the regulatory-management methodology and corporate document standards, ensuring their uniform application across areas.
  • Map, monitor, and track legal obligations applicable to the organization, anticipating non-compliance risks and necessary adjustments.
  • Coordinate implementation of measures required to meet applicable legal and regulatory requirements.
  • Support internal and external audits by providing evidence and documentation related to legal and regulatory compliance.
  • Promote training and awareness activities on corporate policies and legal requirements to strengthen the organization's compliance culture.
  • Work across business areas, advising on the interpretation and application of corporate regulations.
  • Provide legal support to the Ethics Committee.
  • Conduct legal due diligence for significant contracts.
  • Support governance bodies, including preparing minutes and notices.

Desired Qualifications

  • Previous experience in financial markets.
  • Knowledge and experience with ESG-related topics.
  • Experience tracking legal proceedings and litigation.

About the Company

Base Exchange

Offers institutional trading and post-trade infrastructure

Base Exchange aims to be Brazil’s second stock exchange, offering trading and post-trade infrastructure to institutional clients to foster competition against B3. It operates on a proprietary cloud-based platform built on Flowa trading technology, providing services such as trading, clearing and settlement, asset lending, risk management, and market data, initially for cash equities, ETFs, FIIs, and BDRs; crypto assets are not planned at launch. It differentiates itself through a lower, more rational fee structure and reduced operating costs, supported by Mubadala Capital and leadership under Claudio Pracownik. The goal is to improve Brazil’s capital-market infrastructure, increase access and efficiency, and scale to broader markets over time.

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