Raquel Prado

Compliance Advisory - Associate @SMBC Group

London, GB

Providing compliance advisory support to front office teams (Cash Equity, FICC, and Derivatives) byaddressing and, where appropriate, escalating queries, investigating misconduct findings, analysingmarketing materials, and assisting with client queries and complaint escalations.• Liaising with global Compliance teams in the US and Tokyo to manage 15a-6 registrations, Remote Bookingframework, training, and misconduct escalations, ensuring adherence to cross-border regulatoryrequirements.• Conducting policy gap analyses for key regulations such as MAR and MiFID Best Execution requirements toensure alignment with regulatory standards.• Developed and delivered comprehensive compliance training programs (e.g, Best Execution, MNPI, AnnualRefresher) and desktop guidances (e.g, MNPI and Public Side and Private Side interactions).• Streamlined the team’s procedures in one bespoke document to support new joiners and standardise theteam approach to specific processes.• Supporting regulatory obligations on Client Money (UK CASS).

Hult International Business School

Master's degree, Negócios Internacionais

UniEVANGÉLICA - Universidade Evangélica de Goiás

Bacharelado em Direito, Direito