Business Risk and Compliance Officer

2 weeks ago

Makati, Philippines RCBC Full time

Business Risk and Compliance Officer RCBC Makati, National Capital Region, Philippines Job Summary Perform an independent validation/test checking of all accounts managed by Portfolio Managers, schedule, prioritize, and evaluate all reviews due for the year to determine compliance of Trust clients with various regulatory requirements prescribed by BSP and other regulatory agencies in the management of accounts and prepare the necessary reports to the Audit and Compliance Committee/Risk Oversight Committee/Board of Directors and to the President. Responsibilities To monitor completion and update of all trust documentary requirements for managed accounts. Keep abreast with updates on Bank and BSP policies as stipulated in the Anti-Money Laundering and Terrorist Financing Prevention Program (MTPP) and ensure strict implementation and consistent compliance. Do validation/test checking of accounts reviewed. Schedule and prioritize accounts due for review and monitor completion of the reviews. Report to the Business Risk and Compliance Head the status of all reviews (due, completed, complied, deficient documents). Conduct portfolio performance review, especially on portfolio mix and ROI, and determine whether account is managed consistently with each Investment Policy Statement and client’s risk profile in the Client Suitability Assessment. Ensure all submitted trust documents are reviewed, accomplished, and authenticated by authorized processing units. Conduct periodic compliance/control review of trust documents to ensure validity, completeness, and accuracy based on BSP standards. Ensure completeness, accuracy, and reliability of trust documents on file. Ascertain that appropriate approvals and authorizations on all trust documents are properly obtained. Ensure Client Suitability Assessment Forms are updated at least once every three (3) years or as required by changes in client preferences. Identify administrative and documentary deficiencies, monitor PMs’ follow-up, and prepare regular status reports. Promote timely correction/regularization of identified documents, conduct follow-up, and maintain tracking records. Examine and evaluate system records and operating procedures governing control systems for administration of trust accounts and documentation, coordinating with ITG for system updates to comply with BSP changes. Ensure compliance with applicable laws, regulatory restrictions, and internal policies to achieve satisfactory audit rating. Prepare policies and guidelines to ensure compliance with regulatory requirements. Qualifications Bachelor’s degree in Economics, Business, Finance, Management or related courses. Preferably with Trust background; working knowledge of various investment markets and products. Seniority Level Entry level Employment Type Full-time Job Function Legal and Accounting/Auditing Industry Banking Referrals increase your chances of interviewing at RCBC by 2x. #J-18808-Ljbffr

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