Compliance Investment Surveillance Head
3 days ago
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.
Executive
Employment typeFull-time
Job functionSales and Marketing
IndustriesBanking
#J-18808-Ljbffr-
Investment Surveillance Director
2 days ago
Pasig, National Capital Region, Philippines UnionBank of the Philippines Full timeJob OverviewThe Compliance Investment Surveillance Head is responsible for monitoring the investment and insurance sales activities of salesmen in CFSI, Private Banking Group (PBG) and other Wealth units. This involves ensuring that sales activities are monitored, corrected or augmented and results reported on a timely basis.Key ResponsibilitiesLiaise with...
-
Compliance and Risk Management Head
2 days ago
Pasig, National Capital Region, Philippines UnionBank of the Philippines Full timeAbout the RoleThis role is responsible for overseeing the investment and insurance sales activities of salesmen in CFSI, Private Banking Group (PBG) and other Wealth units. The ideal candidate will have strong knowledge of regulatory requirements and industry best practices.Duties and ResponsibilitiesDevelop and implement guidelines and policies to ensure...
-
Banking Operations Manager
2 days ago
Pasig, National Capital Region, Philippines UnionBank of the Philippines Full timeJob SummaryWe are seeking a Compliance Investment Surveillance Head to join our team. The successful candidate will be responsible for monitoring the investment and insurance sales activities of salesmen in CFSI, Private Banking Group (PBG) and other Wealth units.Main ResponsibilitiesLiaise with various groups to ensure compliance with regulatory...
-
Investment Advisory Consultant
6 days ago
Pasig, National Capital Region, Philippines IQ-EQ Full timeJob OverviewWe are seeking a skilled Investment Advisory Consultant to join our team. As an Advisory Services professional, you will provide custom advisory services to clients, leveraging your expertise in finance, accounting, compliance, and project management.Key responsibilities include:Supporting the project management of client engagements, including...
-
Head of R&D
6 days ago
Pasig, National Capital Region, Philippines San Miguel Corp. Full timeWe are looking for a seasoned Head of R&D to join our team at San Miguel Corp.The ideal candidate will have extensive experience in food research and development, as well as leadership skills to manage a team.The Head of R&D will be responsible for leading the research and development of new food products, ensuring they meet the company's quality and taste...
-
Senior Compliance Officer-AML Policy
3 days ago
Pasig, National Capital Region, Philippines UnionBank of the Philippines Full timeSenior Compliance Officer-AML Policy (General Regulatory)Job DescriptionAct as the liaison between the Bank and BSP/AMLC, in matters relating to the Bank's compliance with AML regulations.Provide guidance on policy implementation issues and MTPP queries to the various Bank units.Act as the Fintech subject matter expert (SME) on AML in the CCGO, in...
-
General Ledger, Unit Head
3 days ago
Pasig, National Capital Region, Philippines Viventis Search Asia Full timeGeneral Ledger, Unit Head - Core Banking ITWe are looking for a General Ledger Unit Head to oversee and optimize GL applications within the core banking system. The ideal candidate will have strong technical expertise in Oracle Financials/General Ledger, ensuring system stability, automation, and compliance while leading IT-driven...
-
E-Commerce Head
3 days ago
Pasig, National Capital Region, Philippines Primeline Products Philippines, Inc. Full timeDirect message the job poster from Primeline Products Philippines, Inc.Job Overview: Head of E-commerce (with Retail Background)The Head of E-commerce is responsible for overseeing and managing a retail company's online sales and presence. This role involves developing strategies to enhance online traffic, optimize digital marketing campaigns, and improve...
-
Head of Financial Operations
2 days ago
Pasig, National Capital Region, Philippines Avyan Global Full timeWe are seeking a Senior Finance Professional to join our team at Avyan Global. The ideal candidate will have a strong background in financial management, accounting, or a related field and possess excellent technical skills, strong communication abilities, and the ability to work effectively in a dynamic environment.As the head of financial operations, you...
-
Core Banking Technology Head
2 days ago
Pasig, National Capital Region, Philippines Viventis Search Asia Full timeJob Overview:Viventis Search Asia is seeking a talented Core Banking Technology Head to lead our General Ledger (GL) IT operations. As a key member of our team, you will be responsible for overseeing and managing GL IT operations, ensuring system stability, automation, and compliance.Key Responsibilities:Oversee and manage GL IT operations, including system...
-
Head of Legal Services for Energy Companies
7 days ago
Pasig, National Capital Region, Philippines WHR Global Consulting Full time**Compliance Expert Wanted**We are looking for an experienced Compliance Expert to join our team as Head of Legal Services for Energy Companies. As a key member of our team, you will be responsible for ensuring that our clients comply with regulatory and legal requirements in the energy sector.**Responsibilities:**Develop and implement compliance programs to...
-
Head of Data Architecture
2 days ago
Pasig, National Capital Region, Philippines UnionBank of the Philippines Full timeAbout the RoleWe are looking for a seasoned Head of Data Architecture to join our team at UnionBank of the Philippines. As a key member of our leadership team, you will be responsible for developing and implementing our data architecture strategy, ensuring alignment with business goals and objectives.Main ResponsibilitiesDesign and develop data architectures...
-
Compliance Strategy Director
2 days ago
Pasig, National Capital Region, Philippines Humanly (humanly) Full timeAbout TaskUs: At TaskUs, we are a provider of outsourced digital services and next-generation customer experience to fast-growing technology companies. We help our clients represent, protect, and grow their brands. Leveraging a cloud-based infrastructure, TaskUs serves clients in the fastest-growing sectors, including social media, e-commerce, gaming,...
-
Regulatory Compliance Lead
2 days ago
Pasig, National Capital Region, Philippines Humanly (humanly) Full timeAbout Humanly: Humanly, doing business as TaskUs, offers a next-generation customer experience to fast-growing technology companies, assisting its clients in representing, protecting, and growing their brands. By leveraging a cloud-based infrastructure, TaskUs caters to clients in rapidly evolving sectors like social media, e-commerce, gaming, streaming...
-
Lawyer for Energy Industry and Compliance
7 days ago
Pasig, National Capital Region, Philippines WHR Global Consulting Full time**Job Summary**We are seeking a highly experienced Lawyer to join our team as Head of Legal Services for Energy Companies. As a key member of our team, you will be responsible for providing expert legal advice and support to our clients in the energy sector.**Key Responsibilities:**Provide comprehensive legal advice on regulatory matters related to the...
-
Compliance Operations Manager
2 days ago
Pasig, National Capital Region, Philippines Humanly (humanly) Full timeAbout TaskUs: TaskUs is a provider of outsourced digital services and next-generation customer experience to fast-growing technology companies, helping its clients represent, protect and grow their brands. Leveraging a cloud-based infrastructure, TaskUs serves clients in the fastest-growing sectors, including social media, e-commerce, gaming, streaming...
-
Senior Compliance Manager
2 days ago
Pasig, National Capital Region, Philippines Humanly (humanly) Full timeAbout TaskUs: TaskUs is a provider of outsourced digital services and next-generation customer experience to fast-growing technology companies, helping its clients represent, protect and grow their brands. Leveraging a cloud-based infrastructure, TaskUs serves clients in the fastest-growing sectors, including social media, e-commerce, gaming, streaming...
-
Energy Trading Lead
2 days ago
Pasig, National Capital Region, Philippines Meralco PowerGen (MGEN) Full timeThe role of the Energy Trading Manager at Meralco PowerGen (MGEN) is to lead the team in managing and strategizing energy and ancillary dispatch, bids, and offers of all WESM registered Plants. The main objective is to ensure dispatch protocol obligations are met and compliance to Energy Trading Market Rules are observed.The successful candidate will require...
-
Audit Manager
3 days ago
Pasig, National Capital Region, Philippines JG Summit Holdings Inc. Full timeJob DescriptionThe role of an Audit COE Manager within JGSHI Corporate Internal Audit's Center of Excellence (COE) serves as a subject matter expert, providing audit services to Corporate Center units and subsidiaries. This position is responsible for building skills to support cross-functional audits, lead projects, and contribute to the organization's...
-
Head Accounting
4 weeks ago
Pasig, National Capital Region, Philippines Anytime Cleaners Corp. Full timeJob description:Bachelor's Degree in Accountancy and CPA License is a plusDemonstrating a high level of competency and knowledge in accounting principles and practices.With 10 years of experience, have a proven track record of success in various accounting roles.With Knowledge of GAAP: Generally Accepted Accounting Principles (GAAP) for accurate financial...