Certified Securities Representative

2 weeks ago

Ortigas Center, Philippines WHR Global Consulting Full time

Certified Compliance Officer

Work Arrangement: 100% On-site
Schedule: Day Shift
Location: Ortigas
Employment Type: Full-time
Salary: Php 90,000 to Php 100,000 per month

About the Role:
The Senior Compliance Officer / Associated Person is responsible for overseeing the company’s compliance with applicable laws, rules, and regulatory requirements, particularly those set by the Securities and Exchange Commission (SEC), Philippine Stock Exchange (PSE), Capital Markets Integrity Corporation (CMIC), Anti-Money Laundering Council (AMLC), and other financial regulatory bodies. This role ensures that the company maintains robust internal controls, policies, and procedures to manage compliance risks and fosters a strong culture of integrity and ethical conduct across the organization.

Key Responsibilities:
Regulatory Compliance:
● Ensure full compliance with applicable regulations from SEC, PSE, CMIC, AMLC, and other governing bodies
● Maintain up-to-date knowledge of regulatory changes and assess their impact on the firm’s operations
● Prepare and oversee the timely submission of regulatory reports, disclosures, and other required filings
● Act as a point of contact for regulatory examinations, audits, and inquiries

Internal Controls and Risk Management:
● Develop, renew, and enhance internal compliance policies and standard operating procedures
● Lead the conduct of internal compliance audits and monitor corrective actions
● Evaluate and mitigate compliance risks through effective controls and monitoring systems

Training and Culture Building:
● Lead compliance awareness programs and training sessions for new and existing employees
● Champion a compliance-first culture within the company, promoting transparency, integrity, and accountability
● Provide guidance to departments on interpreting and implementing regulatory requirements

Anti-Money Laundering (AML) and Know-Your-Customer (KYC):
● Monitor transactions for suspicious activity and ensure appropriate AML reporting procedures are followed
● Ensure timely submission of covered and suspicious transaction reports to the AMLC

Liaison and Reporting:
● Coordinate with external auditors, legal counsel, regulators, and other stakeholders on compliance-related matters
● Submit periodic compliance reports to the management team and the Board
● Provide support in strategic planning, compliance initiatives, and regulatory updates

Qualifications:
● Registered with CMIC as Certified Securities Representative (CSR) and a Certified Compliance Officer (CCO) from SEC with Anti-Money Laundering Compliance Certification
● Bachelor’s degree in relevant fields like law, finance, accountancy, business administration, or a related field
● At least 5 years of experience in compliance, audit, or risk management within the brokerage/financial services or capital markets industry
● Strong understanding of SEC rules, PSE regulations, AMLA, and other relevant circulars and memoranda
● High level of integrity, independence, and professionalism
● Analytical, organized, and detail-oriented with the ability to manage multiple priorities
● Excellent communication skills

Candidates with attached CV and relevant experience will be considered for a phone interview.

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