Compliance Officer for Risk Management

6 days ago

Makati City, National Capital Region, Philippines TASQ Staffing Solutions Full time

At TASQ Staffing Solutions, we seek a highly skilled Compliance Officer to join our team.

Job Description:

We are looking for a dedicated professional to oversee the compliance of our group with regulatory rules and internal policies. The ideal candidate will have a strong background in risk management and be able to monitor business operations to prevent non-compliance issues.

Main Responsibilities:
  • Regulatory Compliance: Ensure that our company adheres to all relevant regulations, including PSE, SEC, AMLA, and BSP requirements.
  • Policies and Procedures: Develop and maintain effective policies and procedures to ensure compliance with regulatory rules and internal guidelines.
Key Accountabilities:
  • Issue Detection: Identify potential non-compliance issues and recommend corrective actions to prevent further violations.
  • Intermediary Role: Act as an intermediary between our company and regulatory bodies, ensuring smooth communication and resolution of queries.
  • Reporting: Prepare comprehensive compliance reports for the Group Compliance Officer, highlighting key findings and recommendations.
Supporting Activities:
  • Business Monitoring: Regularly review business operations to identify areas of high risk and take proactive measures to mitigate potential issues.
  • Sensitive Area Review: Periodically review sensitive areas, including employee and director transactions, account on-boarding, stock position reconciliation, complaint records, risk-based capital adequacy ratio reports, and books and records.
  • Regulatory Queries: Coordinate responses to regulatory body queries and requests for information, ensuring timely and accurate submissions.
  • Audit Support: Assist auditors and investigators during inspections and investigations, providing necessary documentation and information.
  • Reporting: Prepare fair and accurate reports, highlighting key findings and recommendations.
Requirements:

We require a qualified professional with a Bachelor's degree in finance, accounting, economics, or a related field, along with 2-5 years of experience in risk, compliance, or audit.

  • Licenses and Certifications: Must be licensed by the SEC to act as an Associated Person.
  • Skills and Qualities:
  • Strong understanding of corporate governance requirements and risk management principles.
  • Excellent written and verbal communication skills.
  • Integrity, excellence, customer focus, teamwork, innovation.
Salary:

The estimated salary for this position is $80,000 - $120,000 per year, depending on experience and qualifications.

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