Manager, Compliance

2 weeks ago

Manila, National Capital Region, Philippines Sun Life Full time

Manager, Compliance Sun Life Financial, Inc. Manila, Philippines Posted 4 days ago Permanent Competitive

Manager, Compliance

You are as unique as your background, experience and point of view. Here, you'll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.

Job Description:

Job description (Manager, SLIMTC Compliance (SEC)) / Description du poste (titre)

  • The Manager, Compliance, SLIMTC will be reporting to the Compliance Officer, SLIMTC and support the Compliance Officer, SLIMTC in the delivery of the Compliance Program that meet the expectation of Bangko Sentral ng Pilipinas (BSP).
  • The Manager, Compliance, SLIMTC will be responsible for developing, implementing and executing processes and controls in SLIMTC to ensure compliance with all applicable laws and regulations as well as Sun Life Enterprise Compliance requirements.
  • The Manager, Compliance, SLIMTC will be expected to provide guidance and direction during business consultation and to provide support the monitoring of regulatory requirements from Bangko Sentral ng Pilipinas (BSP) for Trust and Investment Management business and also regulatory requirements from Securities and Exchange Commission (SEC) for the clientele of SLIMTC.
Preferred skills (Specialized Knowledge, Problem Solving and Communication Skills) / Compétences particulières (titre )
  • Knowledge and experience on regulatory requirement and framework for Mutual Fund under Securities and Exchange Commission (SEC), e.g. Implementing Rules and Regulations of the Investment Company Act.
  • Experience in handling and monitoring regulatory requirements for Investment Restrictions for Mutual Fund.
  • Experience in handling regulator visit, regulator filing would be an advantage.
  • Ability to effectively foster and manage relationships across the organization to deliver against objectives.
  • Demonstrated ability to make sound recommendations to senior leaders and influence business decisions based on thorough analysis, business knowledge and risk consulting expertise.
  • Ability to think strategically and execute tactically.
  • Strong and flexible problem-solving capabilities, willing to challenge the 'status quo' and build innovative control solutions.
  • Confident verbal and written communication skills, experience presenting sensitive matters to senior management and should be able to deal with staff from various levels in the organization.
  • Ability to distill complex requirements without oversimplifying or missing critical components.
  • Ability to communicate at all levels in the organization and with other partners in affiliate entities.
Qualifications (Education and Experience / Compétences (titre)
  • Bachelor degree, in business, accounting, finance, economics, or any other related field, preferably a Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or equivalent
  • At least 5-7 years compliance experience, in governance, risk, and compliance; experience in project management, financial analysis of projects, corporate development, and ESG is also preferred.
  • Exposure to SEC regulations for Mutual Fund business, including regulations related to fund distribution, fund administration, investment restrictions and prohibition is an advantage.
  • Exposure to BSP regulations for Trust business or AML related regulations is an advantage.
  • Experience in investment management, mutual funds, banks or financial services industry is an advantage.
  • Ability to work with local and international teams and associated companies.
Responsibilities (Major Accountabilities) / Responsabilités (titre)
  • Serves as subject-matter-expert with respect to Securities and Exchange Commission (SEC) regulatory requirements for Mutual Fund business, specific to fund distribution, fund administration, investment restrictions and prohibition.
  • Support the Compliance Officer, SLIMTC, in the delivery of the Compliance Program for Trust business that meet the expectation of Bangko Sentral ng Pilipinas (BSP) and Sun Life Enterprise Compliance requirements:
    • Development, localization, refresh and implementation of relevant compliance policy operating guidelines, procedures and/or systems.
    • Provide update of the Compliance Program and respective management/Board reporting on compliance risks.
    • Disseminate new and/or amended regulations and provide guidance/reminder to business functions to comply with the regulations.
    • Facilitate and conduct gap analysis and risk assessment of new and/or amended regulations, and drive the remediation of any identified gaps.
    • Timely escalate incidents of non-compliance and track on the remediation.
    • Conduct Independent Compliance Testing (ICT) on selected functions / process as may be assigned by the Compliance Officer on the basis of risk-based compliance testing plan and track the status of corrective actions taken.
    • Advice business function and facilitate the review of business policies and procedures insofar as compliance with regulatory requirements are concerned, proposals on outsourcing, marketing and transactions/arrangements.
    • Lead the development of local regulatory training programs, and facilitate the delivery of compliance training to business unit employees and compliance staff, as necessary.
    • Support the regulatory audits and internal audit reviews, including organizing the audits and reviews, track and follow through of audit requests, pending regulatory compliance/corrective actions to be undertaken by concerned functions.
    • Develop appropriate reporting metrics and data-driven reporting mechanism to enable effective review, analysis and identification of trends, systemic issues and emerging risks.
  • Provide compliance advice and support to business projects or key business initiatives in end-to-end reviews and risk analysis.
  • Lead the planning and roll out for local/regional/Corporate Compliance project and initiatives.
Job Category:
Compliance

Posting End Date:
12/09/2024 Boost your career Find thousands of job opportunities by signing up to eFinancialCareers today.
#J-18808-Ljbffr

  • Manager, Compliance

    2 weeks ago

    Manila, National Capital Region, Philippines Sun Life Financial, Inc. Full time

    Manager, Compliance Sun Life Financial, Inc. Manila, Philippines Posted 4 days ago Permanent Competitive Manager, Compliance You are as unique as your background, experience and point of view. Here, you'll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share...

  • Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines Qwikwire Full time

    Summary:As Compliance Manager, you will be directly reporting to the Head of Corporate Development Group. In this role, you will be in charge of ensuring that the company's operations are in complete compliance with all national laws, including regulations. This will entail developing, reviewing, and implementing policies and procedures as well as industry...

  • Manager, Compliance

    2 weeks ago

    Manila, National Capital Region, Philippines Sun Life Financial Full time

    locations Taguig City, National Capital Region (Manila) time type Full time posted on Posted 3 Days Ago job requisition id JR You are as unique as your background, experience and point of view. Here, you'll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share...

  • Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines ECPay Full time

    Compliance & Risk (Banking & Financial Services) Qualification / Responsibilities and Duties:At least (7) years of experience in Process and ComplianceDesigns and implements process architecture aligned with the strategic goalsAssembles and involves critical players to align end-to-end processesEnsures compliance with regulatory and legal requirements, as...

  • Distribution Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines FWD Group Management Holdings Limited Full time

    Distribution Compliance Manager FWD Group Management Holdings Limited Manila, Philippines Distribution Compliance Manager FWD Group Management Holdings Limited Manila, Philippines Posted 5 days ago Permanent Competitive Distribution Compliance Manager About FWD Life PhilippinesFWD Life Insurance Corporation (FWD Life Philippines) launched its commercial...

  • Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines Outsourced Quality Assured Services Inc. Full time

    Compliance Manager (Officebased - Eastwood) Other (Information & Communication Technology) Full time Add expected salary to your profile for insights Company Description is a leading ISO certified Philippines offshore outsourcing company that provides dedicated remote staff to some of the world's leading international companies. Outsourced is recognized as...

  • Customs Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines Connext Global Solutions Inc Full time

    Import/Export & Customs (Manufacturing, Transport & Logistics) The Customs Compliance Manager is responsible for ensuring that the company adheres to all applicable legal standards, regulations, and internal policies. This role involves overseeing regulatory compliance for products, including but not limited to engineered hardwood flooring, luxury vinyl...

  • Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines John Clements Full time

    Compliance & Risk (Banking & Financial Services) Ensures company's compliance with the applicable Philippine regulatory compliance matters.Maintains good public relations with various entities such as Philippine Finance Association,AMLC, and other regulatory bodies.Keeps up to date with the Philippine laws and regulations that would impact the...

  • IT Compliance

    1 month ago

    Manila, National Capital Region, Philippines Zendesk Full time

    Job Description: About the Role:We are looking for an IT Compliance & Security Analyst who loves a fast-paced, lively work environment. You'll join the IT Security Compliance Operations team and collaborate closely with departments like Finance, Legal, Sales Operations, Vendor Management, Audit, and HR.The Security Compliance team manages IT SOX controls,...

  • IT Compliance

    2 weeks ago

    Manila, National Capital Region, Philippines Zendesk Full time

    Job Description: About the Role:We are looking for an IT Compliance & Security Analyst who loves a fast-paced, lively work environment. You'll join the IT Security Compliance Operations team and collaborate closely with departments like Finance, Legal, Sales Operations, Vendor Management, Audit, and HR.The Security Compliance team manages IT SOX controls,...

  • IT Compliance

    4 weeks ago

    Manila, National Capital Region, Philippines Zendesk Full time

    Job Description: About the Role:We are looking for an IT Compliance & Security Analyst who loves a fast-paced, lively work environment. You'll join the IT Security Compliance Operations team and collaborate closely with departments like Finance, Legal, Sales Operations, Vendor Management, Audit, and HR.The Security Compliance team manages IT SOX controls,...

  • Tax Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines Michael Page Full time

    Manila Permanent PHP75,000 - PHP150,000 per month (PHP900,000 - PHP1,800,000 per year) to take ownership in a new role and advance their careerto work directly with the CFOAbout Our ClientThe client is one of the largest port's in the Philippines. Has a large market share and holds majority of domestic cargo trade in Manila.Job DescriptionThe Tax Compliance...

  • AML Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines Baker & McKenzie Rechtsanwaltsgesellschaft mbH Full time

    The AML/KYC Compliance Manager will effectively manage the AML/KYC teams and operations within the New Business Intake (NBI) department. The AML/KYC Compliance team is responsible for activities such as AML and Sanctions screening, beneficial ownership research, risk assessment, and document verification for new and existing client and matter registrations,...

  • Risk and Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines Headstart Specialist Full time

    QUALIFICATIONS: 5 years working in risk and regulatory compliance within the banking, capital markets and/or insurance industries (including thorough knowledge of the Basel Accord, Dodd Frank, FBO, FINRA, SEC, FinCEN, OCC, FDIC, CCAR, etc.) Experience should include at least 5 years of experience in one or more of the following: 1. Audit 2. Risk and Controls...

  • Risk and Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines Headstart Specialist Full time

    QUALIFICATIONS: 5 years working in risk and regulatory compliance within the banking, capital markets and/or insurance industries (including thorough knowledge of the Basel Accord, Dodd Frank, FBO, FINRA, SEC, FinCEN, OCC, FDIC, CCAR, etc.) Experience should include at least 5 years of experience in one or more of the following: 1. Audit 2. Risk and Controls...

  • IT Risk and Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines UpRush Social Geekers, Inc. Full time

    Basic Qualification• Bachelor's degree in Computer Engineering, Computer Science, Information Technology, Engineering or any related discipline• Highly organized, results-oriented, and attentive to details• Excellent verbal and written communication, presentation, facilitation, and diplomacy skills• Ability to prioritize and multitask. Flexibility...

  • Operations Process Manager/Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines Ayuda Business Management Solutions Inc Full time

    Location:BGC, Taguig City | onsite setupSalary:120,000 PHPKey Responsibilities:1. **Process Design and Development**:Design and develop new or modify existing processes to improve efficiency, productivity, and quality aligned to BPO industry processes.- Ensure compliance and develop guides to establish new technical processes and programs within the...

  • Tax Compliance Manager

    1 month ago

    Manila, National Capital Region, Philippines Deloitte SEA Full time

    Tax Compliance ManagerWhat impact will you have?Deloitte offers a unique career experience to inspire talents to make a significant impact for clients, people, and the community. We provide a highly inclusive, collaborative workplace with unmatched opportunities for personal growth. We seek individuals with the drive to push boundaries and find innovative...

  • Tax Compliance Manager

    2 weeks ago

    Manila, National Capital Region, Philippines Deloitte SEA Full time

    Tax Compliance ManagerWhat impact will you have?Deloitte offers a unique career experience to inspire talents to make a significant impact for clients, people, and the community. We provide a highly inclusive, collaborative workplace with unmatched opportunities for personal growth. We seek individuals with the drive to push boundaries and find innovative...

  • Tax Compliance Manager

    4 weeks ago

    Manila, National Capital Region, Philippines Deloitte SEA Full time

    Tax Compliance ManagerWhat impact will you have?Deloitte offers a unique career experience to inspire talents to make a significant impact for clients, people, and the community. We provide a highly inclusive, collaborative workplace with unmatched opportunities for personal growth. We seek individuals with the drive to push boundaries and find innovative...