Detail-Oriented Regulatory Compliance Specialist

16 hours ago

San Fernando, Central Luzon, Philippines beBeeCompliance Full time ₱900,000 - ₱1,200,000
Compliance professionals with a passion for detail and proactive approach to regulatory compliance are sought after by our organization. Our Compliance Assistant role offers an opportunity to work closely with the Group Head of Compliance in Europe and the US Chief Compliance Officer, supporting compliance operations across multiple jurisdictions.

Job Description
  • Regulatory Filings: Assist in preparing and reviewing Form ADV (Parts 1 & 2), Form PF, and other US filings; submit via IARD/Gateway.
  • Marketing Reviews: Pre-clear marketing decks, pitchbooks, and social media under SEC's Marketing Rule; maintain internal logs.
  • Trade & Personal Account Monitoring: Conduct post-trade reviews, follow up on Code of Ethics attestations.
  • Compliance Testing: Support quarterly and annual testing (best execution, AML, side-by-side fee reviews).
  • Research & Support: Track SEC updates, draft internal compliance alerts, and assist with onboarding training.

This is an excellent opportunity for an individual with US RIA compliance experience seeking long-term career growth in a professional environment.


Required Skills and Qualifications
  • Experience: At least 2 years in compliance with a US Registered Investment Adviser (RIA) or broker-dealer. Experience with Form ADV, IARD filings, or the SEC Marketing Rule is highly valued.
  • Education: Degree in Finance, Business, Accounting, or Law.
  • Regulatory Knowledge: Familiarity with the Investment Advisers Act of 1940, including Form ADV Parts 1 & 2, Rule amendments, and the SEC Marketing Rule.

A strong understanding of regulatory requirements and procedures is essential for this role.


Benefits
  • Long-term Career Growth: Opportunities for training and exposure to both US and European regulatory frameworks.
  • Professional Environment: Collaborative atmosphere in the Clark business park.

We offer a dynamic work environment that encourages collaboration and knowledge-sharing.


Others

This role requires strong analytical and communication skills, with the ability to explain complex regulatory concepts in clear terms.

A team player with excellent problem-solving skills and attention to detail will thrive in this position.

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