Julio Cesar Cuter

Accountable for providing advice and challenge for Market Equities (Client flow, Facilitation desk, Structure and Swap) and Global Custody (Nonresident representative and Custody). Works as a second line to mitigate risks to support business increase. Leads a two-employee team as a country Product Compliance Head reporting to the Director of Latam and with a dotted report to Brazilian Chief Compliance Officer.

Supervise the activities of the Self-Regulation Department and judge Administrative Proceedings and investor compensation mechanism.

Accountable for planning and managing the AML/CFT program, monitoring adherence of activities to the regulatory requirements of the Central Bank of Brazil and the CVM, including the supervision of sanctions and reporting of suspicious transactions. With the support of a senior analyst, led and managed the activity of two other teams composed of 10 people in total, as country head reporting to the Director of Prevention of Financial Crimes Latam. Restructured the Central Bank reports (Inherent Risk and Effectiveness Assessment of the AML/CFT program), obtaining approval from the AML/CFT Committee and having no issues after on-site Central Bank inspection, Internal Audit and External Audit. Optimized the AML/CFT program by discontinuing redundant alerts and unnecessary alerts, and replaced them improving the logic, reducing the number of alerts generated by 15% without loss of program coverage. Conducted interactions with CVM and Central Bank as responsible for the governance of the Financial Crime program, in addition to representing the bank in ANBIMA and ABBI Compliance and PLD/FTP Forums. Worked with the business areas as an Advisory, leading several cases of enhanced Due Diligence for KYC, KYP and KYE.

Accountable for the Market Surveillance team carried out with the purpose of combating market manipulation, fraud and other irregular practices. Accountable for AML/CFT carried out within the scope of BSM against abuse of B3 markets. This Supervisions carried out with red flags made by BSM four team. It combined techniques application of Data Mining in Big Data and KPIs to measure effectiveness, knowledge of rules and operations compatible with the best international practices performed primarily with the S.A.S. and Nasdaq (SMARTS). Relationship with BSM's main clients, which are Securities Brokers and Banks. Disseminate Compliance Culture and Market Surveillance Importance (gatekeeper) through workshops. Relationship with regulatory such as the Brazilian Securities and Exchange Commission, Central Bank of Brazil and self-regulatory entities such as ANBIMA, ABRAP, ANCORD and ABBI. BSM representative to present our Market Surveillance Model at two IOSCO's Affiliate Members Consultative Committee. BSM representative as a guest in five meetings of the Intermarket Surveillance Group to present our Market Surveillance Model. The ISG is group support by self-regulators, regulators and Stocks Exchanges to created to exchange information, techniques and concepts of Market Suerveillance. Brazilian representative to set forth our strategy (BSM and CVM) carried out in Brazil to combat the manipulation of offers (layering and spoofing) at the Committee on Regulation of Secondary Markets (Committee 2) of IOSCO.

Evaluate the concession of ABRAPP seal that identifies the Complementary Pension Entities . This seal identifies if the possessor follows the best investment governance and risk management practices described in the entity's self-regulation code.

Evaluate the processes initiated by the ANBIMA supervision team on activities related to the distribution of investment products.

Responsible for the development Market Surveillance on Derivatives Market, with the main attributions: managing the daily activities of alert analysis, preparation of reports and development of routines to guarantee Supervision coverage. Led a team of 3 analysts, report to Market Surveillance Associate Director. I organized the supervision of futures and derivatives markets, after the merger of Bovespa with BM&F, integrating the segments, through a portfolio of alerts from the Market Suerveillance, guaranteeing the integrity of Future Dollar Contracts, Dollar Options, Livestock Futures Contract etc., also obtaining approval of the work by the CVM and the Supervisory Board. I structured new team, working closely with the team responsible for Stock Market Supervision, obtaining collaboration and an environment conducive to people's development.

Teach Macroeconomics and Introduction to Microeconomics and and I coordinated the International Relations Course

Accountable for the analysis of suspicious operations of price manipulation, unfair practices, operations of the same investors to create artificial market conditions and suspicious operations of Money Laundering, I participated in the transformation from manual supervision to automated supervision with the creation of alerts, indicators and use of the back office systems database, reporting to the Market Surveillance Manager.

Accountable for financial reports prepared to send for Headquarters, cash control making applications and short-term loans. Additionally, I was responsable to pay and receive in foreign currency (exports and imports). I led the expansion of banking relationships, reporting to the CFO.

Bachelor’s degree in Economic Sciences