Raquel Prado

Background

About Raquel Prado

With over four years of professional experience, I specialize in legal compliance and regulatory advisory, currently serving as a Compliance Advisory Associate at Sumitomo Mitsui Banking Corporation (SMBC). I provide compliance support for front-office teams across Cash Equity, Fixed Income, Currency, and Derivatives, ensuring adherence to complex regulatory frameworks such as MAR and MiFID Best Execution requirements. My role involves conducting policy gap analyses, managing cross-border regulatory requirements, and collaborating with global Compliance teams to uphold robust control systems. Previous experience includes contributing to sustainability disclosure initiatives and monitoring personal account dealing and marketing materials, which has strengthened my ability to navigate intricate regulatory landscapes. Committed to fostering accountability and transparency, I leverage my legal expertise and a detail-oriented approach to empower organizations in maintaining ethical practices and sustainable growth.