Veridiana Pilot Moleta

Experience

• 

  Cultura Inglesa

  Mar 2007 - Dec 2007

  Teacher assistant at didactic laboratory and library, assisting students with english doubts.
• 

  FRAM Capital

  Mar 2013 - Feb 2018

  I assisted on: • Elaborate and implement Compliance Program; • Implement internal manuals with the subjects Ethics, Training, Registration, Suitability, Anti Money Laundering, Compliance, Internal controls and Risks Management; • Due Diligence on third parts based on Know Your Partner politics, as well as on custodian banks, brokers and assets; • Registration approval of individuals and entities clients based on Know Your Customer politics; • Registration on onshore broker and production of documents to investment fund opening account on offshore broker and credit analysis documentation; • Production of schedule and record from Risk and Compliance Committee; • Production of internal control reports and registration reports requested by regulatory agencies, such as Associação Brasileira das Entidades dos Mercados Financeiro e de Capitais (ANBIMA), Comissão de Valores Mobiliários (CVM) and Central de Custódia e Liquidação Financeira de Títulos (CETIP); • Documents elaboration and analysis involving market risk such as DLO, DRM and DDR to be transmitted to Banco Central do Brasil; • Documents elaboration to internal and onshore and offshore external audit (Cayman Islands Monetary Authority); Show less

  • Compliance Analyst

    Apr 2014 - Feb 2018

  • Risk, P&L and Compliance Intern

    Mar 2013 - Mar 2014
• 

  Captalys

  Apr 2018 - Oct 2022

  • "Technical Responsible" before the Central Bank of Brazil in the process of incorporation of Captalys Distribuidora de Títulos e Valores Mobiliários "DTVM";• Participation in obtaining licenses for qualified services from CVM and ANBIMA: Fiduciary Administration, Custody and Bookkeeping;• Responsible for the Working Group for the implementation of the General Data Protection Law "LGPD" in the Company;• Responsible for the implementation of the PLDFTP system;• Review of Partnership Agreements and due diligence for compliance with AMLDP regulations;• Monitoring of regulatory changes that impact the services provided and follow-up of action plans with managers. Show less • Team coordination;• Review of institutional materials for release in diligences requested by local and foreign investors;• Implementation of regulatory compliance and corporate governance in new business lines, in conjunction with the Capital Markets and Legal areas;• Implementation of a Compliance program focused on: culture of integrity, management support, review of corporate policies, review of Due Diligence materials, measures to improve corporate governance;• Elaboration and management of training for employees. Show less

  • VP Compliance Officer

    Mar 2020 - Oct 2022

  • Associate Compliance Officer

    Oct 2019 - Feb 2020

  • Compliance Analyst

    Apr 2018 - Sept 2019
• 

  Finvest DTVM

  Oct 2022 - Jun 2023

  VP Compliance Officer

  It is relevant to inform that Captalys DTVM changed its corporate name to Finvest DTVM.• Parameterization and monitoring of the system for PLDFTP;• Review of policies for compliance with regulations of the Central Bank of Brazil, the Brazilian Securities and Exchange Commission (CVM) and ANBIMA;• Elaboration of the Compliance and AML/CFT agenda of the Risk Committee;• Monitoring of regulatory changes that impact the services provided and follow-up of action plans with managers.

• 

  REAG INVESTIMENTOS

  Jun 2023 - now

  VP Compliance Officer

  It is relevant to inform that Finvest DTVM is in the process of being acquired by Reag Investimentos.• Team coordination;• Review of the Compliance program of the REAG group, focusing on the prevention of money laundering, terrorist financing and the financing of the proliferation of weapons of mass destruction "PLDFTP";• Implementation of a system to prevent money laundering;• Structuring of the Compliance, Internal Controls and AML-FTA Committee;• Monitoring of regulatory changes that impact the services provided and follow-up of action plans with managers. Show less