Compliance Officer - Finance

MAKATI, National Capital Region

Posted today


Company:: Dempsey Resource Management Inc.
Company Description:: Dempsey Resource Management Inc. (DEMPSEY) is an executive search and referral services company. We do assist our client companies in the sourcing of competent and qualified candidates to fill up various job positions in their organization. The job positions we are targeting for our referred candidates are those intended for direct hiring by our clients.
Contract Type:: Full Time
Experience Required:: 5 to 10 years
Education Level:: Bachelor’s Degree
Gender:: Any
Number of vacancies:: 1

Job Description

DIRECT HIRING!
Compliance Officer
i. Salary Range: 40 – 60K can be higher depending on qualifications

ii. Site Location: 18F PS Bank Center Paseo de Roxas Makati

iii. Schedule: Hybrid – 1 day WFH, 4 days onsite and Flexitime: core hours of 10am – 5pm

iv. Slot available: 1

v. 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.

vi. Experience: at least 5 years relevant work experience in securities regulations matters and an understanding of the mutual fund companies

vii. 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.