Compliance Officer
Makati, National Capital Region
Posted 2 days ago
- Company:
- DEMPSEY RESOURCE MANAGEMENT INC.
- Company Description:
- Dempsey Resource Management Inc. is a company authorized to engage in the local manpower placement. It is duly registered with the Department of Labor and Employment, Securities and Exchange Commission, Bureau of Internal Revenue with the corresponding Quezon City business permit. There is no other company registered with exactly the same with our trade name and address. Clearly, anyone who represents and uses our trade name Dempsey Resource Management Inc. is deemed fake and a scammer with ill intent purpose.
- Contract Type:
- Full Time
- Experience Required:
- 5 to 10 years
- Education Level:
- Bachelor’s Degree
- Gender:
- Any
- Number of vacancies:
- 1
Job Description
Schedule: Hybrid – 1 day WFH, 4 days onsite and Flextime: core hours of 10am – 5pm
Overall Responsibility: Assist the management in effectively managing the compliance function required under the Code of Corporate Governance issued by the Securities and Exchange Commission (SEC). Oversee and coordinate the company’s compliance with the Securities Regulations Code (SRC), the Investment Company Act (ICA) and their implementing rules and regulations, including other laws, rules and regulations and its own internal policies and procedures.
Experience: at least 5 years relevant work experience in securities regulations matters and an understanding of the mutual fund companies
Qualification: Working knowledge on basic legal and regulatory requirements as well as laws, rules and regulations on security laws, investment company laws, AMLA, Data Privacy law and those relating to compliance with reportorial requirements. Graduate of any business course, preferably with accounting or auditing background. Possess an independent attitude to identify compliance deficiencies in the various units. Must be organized, resourceful, able to multi-task, can work in a fast-paced environment. 35 – 45 years old.