Junior Auditor

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• Candidate must be a Certified Public Accountant (CPA)
• Required Skill(s): Attention to details, time management, oral and written communication, project management

Duties and Responsibilities:

1. Assists in the risk assessment of the Trading Participants (TPs) and in the establishment of the audit plan e.g. formulation of audit program and procedures for regular compliance audit.

2. Conducts regulatory compliance audit based on the audit program approved by the Securities and Exchange Commission (SEC)

a. Keeps the Senior Auditor and/or the Head of the Audit and Compliance Department (ACD) fully informed of the progress on assignments and conforms to the Company's administrative policies and requirements and those of TPs as applicable.

c. Archives audit working papers

d. Identifies and communicates issues and violations to the TP's associated person or compliance officer.

e. Prepares official correspondence e.g. Audit Authority Letter, Show Cause Letter, Sanction Letter and Reports on the Result of Regular Audit to be submitted to the SEC.

f. Assists the Senior Auditor and/ or Head ACD during exit conference with the TP's nominee and Associated Person.

g. Conveys recommendations to the TP's officers to prevent violation and comply with the Securities Laws.

3. Monitors reports submitted by the TPs such as Quarterly Compliance Report, Movement of PSE Shares, SEC Form 30.1, Internal/ Accredited Training Reports, List of Directors, Officers, Agents and Employees, and Employee Movement.

4. Conducts special audit based on the objective, purpose and requirement endorsed by Investment and Enforcement Department or Surveillance Department.

5. Assists the Senior Auditor/ Head of ACD in the development of standard operating policies and the establishment or amendment of Rules and Regulations.

6. Conducts periodic review of RBCA reports submitted by the TPs and assists in the preparation of Monthly report Reports related to RBCA review.

7. Assists the Senior Auditor/ Head of ACD with the Failed TPs including the update and monitoring of the books and facilitation of disbursements of claims and requests for stock transfers.

Your application will include the following questions:

What's your expected monthly basic salary?

How many years' experience do you have as an auditor?

How much notice are you required to give your current employer?

Are you willing to undergo a pre-employment background check?

Are you willing to undergo a pre-employment medical check?

Services

The Capital Markets Integrity Corporation (CMIC) is a wholly-owned subsidiary of the Philippine Stock Exchange (PSE) and has the primary mandate of safeguarding the interests of the investing public and maintaining the integrity of the capital markets.

As a self-regulatory organization (SRO), the CMIC monitors trading activities, conducts audit of the pertinent books and records of PSE trading participants (TPs), and enforces compliance with the securities laws by the TPs. In pursuance of the securities laws, the CMIC carries out the enforcement role of an SRO by investigating and resolving cases involving violations of securities laws, which include trading-related irregularities and unusual trading activities.

The Capital Markets Integrity Corporation (CMIC) is a wholly-owned subsidiary of the Philippine Stock Exchange (PSE) and has the primary mandate of safeguarding the interests of the investing public and maintaining the integrity of the capital markets.

As a self-regulatory organization (SRO), the CMIC monitors trading activities, conducts audit of the pertinent books and records of PSE trading participants (TPs), and enforces compliance with the securities laws by the TPs. In pursuance of the securities laws, the CMIC carries out the enforcement role of an SRO by investigating and resolving cases involving violations of securities laws, which include trading-related irregularities and unusual trading activities.

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