Compliance Investment Surveillance Head

4 weeks ago


Pasig, National Capital Region, Philippines UnionBank of the Philippines Full time

Job Description

  • Primarily responsible for the monitoring of the investment and insurance sales activities of salesmen in CFSI, Private Banking Group (PBG) and other Wealth units. Manage his team of surveillance officers to ensure sales activities are monitored, corrected or augmented and results reported on a timely basis.
  • In-charge of liaising on matters of surveillance and market conduct practices with the aforementioned groups, and with the Trust and PBG Compliance Officer (PBG CO) relating to the Bank's compliance risk management of the groups, in accordance with the Bangko Sentral ng Pilipinas (BSP), Securities and Exchange Commission (SEC), and Insurance Commission (IC) rules and regulations.
  • Coordinate as necessary with the BSP, SEC or IC, upon instructions by the CCO.
  • Render advice, in coordination with the PBG Compliance Officer (PBG CO) or the CCO, on the groups' queries.
  • Ensure that the groups maintain an acceptable BSP and other regulator rating in investment and insurance marketing and escalating as necessary any foreseen delays or problems in the resolution.
  • Upgrade the awareness of the rules and regulations of the BSP, SEC and IC by cascading applicable laws and regulations to concerned personnel.
  • Conduct compliance testing for Head Office Units and branches as may be assigned and as needed, by the CCO and Compliance Testing Unit Head.
  • Coordinate with the PBG CO on the conduct of trainings and seminars on Trust and Investments, and with the AML Policy Head on AML matters, when necessary.
  • Assist the CCO in facilitating the requirements during regulatory examinations.
  • Attend the appropriate Board Committee meetings and project meetings in representation of the CCO and update the CCO on matters discussed during the said meetings.
  • Submit the agreed periodic (daily, weekly, monthly, quarterly) report to the CCO and to the Corporate Governance Committee.
  • Review, propose and assist in the formulation or revision of guidelines or policies related to the assigned responsibilities.
  • Attend trainings/seminars as instructed by the CCO.
  • Perform other related duties that may be assigned from time to time by the CCO.
Seniority level

Executive

Employment type

Full-time

Job function

Sales and Marketing

Industries

Banking

#J-18808-Ljbffr

  • Pasig, National Capital Region, Philippines UnionBank of the Philippines Full time

    Job DescriptionWe are looking for a seasoned professional to fill the role of Compliance Investment Surveillance Head at UnionBank of the Philippines.The ideal candidate will possess strong leadership skills and experience in managing surveillance teams, ensuring that sales activities are properly monitored and regulated.Main Responsibilities:Oversee the...


  • Pasig, National Capital Region, Philippines UnionBank of the Philippines Full time

    Job OverviewWe are seeking a highly skilled professional to serve as our Compliance Investment Surveillance Head at UnionBank of the Philippines.The successful candidate will be responsible for overseeing the investment surveillance function, ensuring that all sales activities are properly monitored and regulated.Main Responsibilities:Develop and implement...


  • Pasig, National Capital Region, Philippines UnionBank of the Philippines Full time

    Job DescriptionWe are seeking a highly experienced and skilled Compliance Investment Surveillance Head to join our team at UnionBank of the Philippines.The successful candidate will be responsible for leading our investment surveillance function, ensuring that all sales activities are monitored, corrected or augmented, and results reported on a timely...


  • Pasig, National Capital Region, Philippines UnionBank of the Philippines Full time

    Job SummaryWe are looking for a highly motivated and experienced professional to fill the role of Compliance Investment Surveillance Head at UnionBank of the Philippines.The ideal candidate will have a strong background in financial services regulation and experience in managing surveillance teams.Main Responsibilities:Lead the development and implementation...

  • Head of Finance

    1 week ago


    Pasig, National Capital Region, Philippines Stealth Monitoring Full time

    Stealth Monitoring is looking for talented individuals like you Be the next Head of Finance. The Head of Finance will lead and oversee the organization's financial strategy, ensuring robust financial planning, reporting, and compliance. This role will be instrumental in developing financial frameworks.About the companyStealth Monitoring is North America's...


  • Pasig, National Capital Region, Philippines Meralco PowerGen (MGEN) Full time

    Investment and Mergers & Acquisitions (M&A) HeadNegotiableOn-site - Pasig 1-3 Yrs Exp Bachelor Full-timeJob DescriptionThe Head of Investment Analysis and Mergers & Acquisitions (M&A) will oversee the evaluation, structuring, and execution of investment opportunities, acquisitions, and strategic partnerships for Meralco PowerGen. This role entails assessing...


  • Pasig, National Capital Region, Philippines Wellington Investment & Manufacturing Corporation Full time

    About the RoleThis is an exciting opportunity for a motivated and experienced Electrical Engineer to join our team at Wellington Investment & Manufacturing Corporation.The successful candidate will be responsible for maintaining the reliability and efficiency of our electrical systems, ensuring smooth milling operations.Maintain accurate records of jobs...


  • Pasig, National Capital Region, Philippines Viventis Search Asia Full time

    Job SummaryWe are seeking a Compliance and Accounting Head to join our team. The successful candidate will have a strong background in financial reporting and compliance, with at least 10 years of experience in finance and accounting.Key ResponsibilitiesDevelop and implement compliance policies and proceduresOversee the preparation and submission of...

  • Head of Finance

    2 weeks ago


    Pasig, National Capital Region, Philippines Stealth Monitoring, Inc. Full time

    Stealth Monitoring is looking for talented individuals like you Be the next Head of Finance.The Head of Finance will lead and oversee the organization's financial strategy, ensuring robust financial planning, reporting, and compliance. This role will be instrumental in developing financial frameworks, streamlining processes, and providing insights to drive...


  • Pasig, National Capital Region, Philippines Wellington Investment & Manufacturing Corporation Full time

    OverviewWellington Investment & Manufacturing Corporation is seeking an experienced Facilities Coordinator to join our team.Job DescriptionThe Facilities Coordinator will be responsible for ensuring the cleanliness and maintenance of our Reception Area, Hallways, and Rest Rooms. This includes instructing utility personnel as needed and coordinating with...


  • Pasig, National Capital Region, Philippines Pru Life UK - Team Josh Part time

    Freelance Investment ConsultantPru Life UK - Team Josh offers a part-time opportunity for individuals to work as freelance investment consultants.Key Responsibilities:Assess client needs and recommend insurance, investment, and retirement products.Build and maintain strong client relationships.Meet sales targets and contribute to business growth.Ensure...


  • Pasig, National Capital Region, Philippines Joy Nostalg Group Full time

    JOB SUMMARY:Prepares and/or evaluates, and recommends investment proposals, feasibility studies and business projects from various business units and monitors actual business performance according to their feasibility studies/project proposal. The Investment Officer is also responsible for managing and optimizing investment portfolios to achieve the...

  • Electrical Engineer

    2 weeks ago


    Pasig, National Capital Region, Philippines Wellington Investment & Manufacturing Corporation Full time

    Wellington Investment & Manufacturing CorporationNegotiableJob DescriptionGENERAL FUNCTION:The Electrical Engineer is responsible for the troubleshooting, repair, and maintenance of vital equipment and other company electrical facilities during milling operations.MINIMUM QUALIFICATIONS FOR THE POSITION:Graduate of Electrical Engineering and a Registered...

  • Research Associate

    7 hours ago


    Pasig, National Capital Region, Philippines Wellington Investment & Manufacturing Corporation Full time

    Job DescriptionWe are seeking a highly skilled Laboratory Analyst to join our team at Wellington Investment & Manufacturing Corporation.Key Responsibilities:Monitor and analyze incoming raw materials, in-process control points and finished products to ensure compliance to Quality Assurance standards and product specifications.Provide technical support and...

  • Analytical Expert

    7 hours ago


    Pasig, National Capital Region, Philippines Wellington Investment & Manufacturing Corporation Full time

    About the JobWe are seeking a highly skilled Laboratory Analyst to join our team at Wellington Investment & Manufacturing Corporation.Key Responsibilities:Ensure compliance to Quality Assurance standards and product specifications by monitoring and analyzing incoming raw materials, in-process control points and finished products.Provide technical support and...


  • Pasig, National Capital Region, Philippines Wellington Investment & Manufacturing Corporation Full time

    Wellington Investment & Manufacturing Corporation is committed to hiring talented individuals who share our values of quality, innovation, and customer satisfaction.We are currently seeking a skilled Laboratory Analyst to join our team.The successful candidate will be responsible for ensuring compliance to Quality Assurance standards and product...


  • Pasig, National Capital Region, Philippines Wellington Investment & Manufacturing Corporation Full time

    At Wellington Investment & Manufacturing Corporation, we are seeking a skilled Laboratory Analyst to join our team.As a Laboratory Analyst, you will be responsible for ensuring compliance to Quality Assurance standards and product specifications by monitoring and analyzing incoming raw materials, in-process control points and finished products.The ideal...


  • Pasig, National Capital Region, Philippines Stealth Monitoring, Inc. Full time

    We are seeking a skilled Quality Assurance Specialist to join our team at Stealth Monitoring, Inc. As a key member of our operations team, you will play a critical role in maintaining the highest standards of quality and excellence in our surveillance solutions.Your primary responsibility will be to investigate incidents at our monitored properties,...


  • Pasig, National Capital Region, Philippines PFV Human Resources Consulting Full time

    Chief Financial and Investment Officer (Fundraiser)PFV Human Resources ConsultingUrgent ₱200-250K [Monthly] Hybrid - Pasig >10 Yrs Exp Bachelor Full-timeJob DescriptionDescriptionOur client is the Philippines' first virtual credit wallet, providing innovative credit payment services since 2021. We offer cutting-edge credit payment solutions for the...

  • Head of Finance

    3 weeks ago


    Pasig, National Capital Region, Philippines TK Services International Ltd. Full time

    Financial Management & ReportingLead the financial planning, budgeting, forecasting, and analysis process.Ensure timely and accurate monthly, quarterly, and annual financial reporting.Provide financial insights and analysis to support strategic decision-making.Present financial results and key insights to the Executive Leadership Team (ELT) and Board.Ensure...