Certified Compliance Officer

The Senior Compliance Officer / Associated Person is responsible for overseeing the company’s compliance with applicable laws, rules and regulatory requirements, particularly those set by the Securities and Exchange Commission (SEC), Philippine Stock Exchange (PSE), Capital Markets Integrity Corporation (CMIC), Anti-Money Laundering Council (AMLC), and other financial regulatory bodies. This role ensures that the company maintains robust internal controls, policies and procedures to manage compliance risks and fosters a strong culture of integrity and ethical conduct across the organization.

Key Responsibilities:
 Regulatory Compliance
Ensure full compliance with applicable regulations from SEC, PSE, CMIC, AMLC and other governing bodies.
Maintain up-to-date knowledge of regulatory changes and sees their impact on the firm’s operations.
Prepare and oversee the timely submission of regulatory reports, disclosures and other required fillings.
Act as a point of contact for regulatory examinations, audits and inquiries.

Internal Controls and Risk Management:
Develop, renew and enhance internal compliance policies and standard operating procedures.
Lead the conduct of internal compliance audits and monitor corrective actions.
Evaluate and mitigate compliance risks through effective controls and monitoring systems.

 Training and Culture Building:
Lead compliance awareness programs and training sessions for new and existing employees.
Champion a compliance-first culture with the company, promoting transparency,
integrity and accountability.
Provide guidance to departments on interpreting and implementing regulatory requirements.

 Anti-Money Laundering (AML) and Know-Your-Customer (KYC):
Monitor transactions for suspicious activity and ensure appropriate AML reporting procedures are followed.
Ensure timely submission of covered and suspicious transaction reports to the AMLC.

 Liaison and Reporting
Coordinate with external auditors, legal counsel, regulators and other stakeholders on compliance-related matters.
Submit periodic compliance reports to the management team and the Board.
Provide support in strategic planning, compliance initiatives and regulatory updates.

Qualifications:
 Registered with CMIC as Certified Securities Representative (CSR) and a Certified Compliance Officer (CCO) from SEC with Anti-Money Laundering Compliance Certification
 Bachelor's Degree in relevant fields like law, finance, accountancy, business administration or a related field
 At least 5 years of experience in compliance, audit, or risk management within the brokerage/financial services or capital markets industry.
 Strong understanding of SEC rules, PSE regulations, AMLA and other relevant circulars and memoranda
 High level of integrity, independence and professionalism
 Analytical, organized, and detailed oriented with the ability to manage multiple priorities with excellent communication skills