Compliance Specialist
Taguig, National Capital Region
Posted 26 days ago
- Company:
- Risewave Consulting Inc
- Company Description:
- As one of the world's leading human resource service organizations, Risewave, which is powered by Comrise, provides customized talent solutions that exceed our clients needs in various business scenarios. With our vast network of top talent, based all over the globe, we can lead your organization toward success.
- Contract Type:
- Full Time
- Experience Required:
- 3 to 4 years
- Education Level:
- Bachelor’s Degree
- Number of vacancies:
- 1
Job Description
- Prepare and conduct distributor investigations, including reporting to Distribution Compliance Office (DCO) and - Compliance and Ethics Committee on the results of investigation, and recommending any applicable sanctions.
- Manage DCO-related registries and documentation for records management.
- Assist the Distribution Compliance Manager in the preparation of required reports, monthly or quarterly, as required by the Head of Compliance, including but not limited to reports to Group Office, Compliance and Ethics - Committee, Compliance and Operational Risk Committee, Executive Committee, Board Committees and/or Board of Directors.
- Participate in relevant DCO system enhancement, various business initiatives and give compliance advisories on DCO-related subject matters.
- Perform all other related tasks as may be assigned by the Head of Compliance and/or Chief Compliance Officer.
Qualifications and Skills:
- 3-4 years’ experience in the life insurance industry.
- With knowledge of life insurance operations and understands various customer transactions.
- Strong background in Distribution Compliance is an advantage, especially conducting thorough investigation.
- Able to understand, interpret, and implement relevant regulatory guidelines and Company policies.
Education & Certification:
- Relevant tertiary qualifications, preferably with LOMA Certification
- Salary:
- ₱40,000.00 Monthly
