Position: Senior Compliance Officer / Associated Person
Employment Type: Full-Time
About the Role:
The Senior Compliance Officer / Associated Person plays a critical role in ensuring the company adheres to all applicable financial regulations, including those from the SEC, PSE, CMIC, AMLC, and other regulatory bodies. This position is responsible for overseeing internal compliance policies, regulatory reporting, and cultivating a strong culture of ethics and compliance throughout the organization.
Key Responsibilities:
- Ensure full compliance with regulations from SEC, PSE, CMIC, AMLC, and other relevant agencies.
- Prepare and submit timely regulatory filings; serve as the primary contact during audits and regulatory inquiries.
- Develop, implement, and enforce internal compliance policies; conduct regular compliance audits.
- Lead employee training programs on compliance-related topics, promoting a compliance-first mindset.
- Monitor financial transactions for AML and KYC compliance; ensure timely filing of CTRs and STRs.
- Coordinate with regulatory authorities, legal teams, and senior management on compliance matters.
Qualifications:
- Registered CSR (CMIC) and Certified Compliance Officer (SEC) with AML certification.
- Bachelor’s degree in Law, Finance, Accountancy, or a related discipline.
- At least 5 years of experience in compliance, audit, or risk management roles within financial services or capital markets.
- Deep knowledge of regulatory frameworks including SEC, PSE, and AMLA.
- High level of integrity, strong communication skills, and meticulous attention to detail.
Job Type: Full-time
Pay: Php90,000.00 - Php100,000.00 per month
Benefits:
- Pay raise
Schedule:
- 8 hour shift
Experience:
- compliance, audit, or risk roles within financial services : 5 years (Required)
License/Certification:
- CSR (Required)
- Certified Compliance Officer (SEC) (Required)
Work Location: In person
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