Investment Surveillance Director

4 days ago


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

The 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 Responsibilities
  • Liaise with various groups to ensure compliance with regulatory requirements and best practices.
  • Coordinate with regulatory bodies as necessary to address any issues or concerns.
  • Provide advice and guidance to colleagues on compliance matters.
  • Monitor and report on the effectiveness of surveillance and risk management measures.
  • Develop and implement guidelines and policies to ensure compliance with regulations.
Requirements
  • Strong knowledge of regulatory requirements and industry best practices.
  • Excellent communication and interpersonal skills.
  • Ability to analyze complex data and identify trends.
  • Proven experience in compliance and risk management.
Benefits
  • Opportunity to work with a leading bank in the Philippines.
  • Competitive salary and benefits package.
  • Chance to develop your skills and expertise in compliance and risk management.


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