Legal and Compliance Officer

2 weeks ago


Ortigas, Philippines COL Investment Management, Inc. Full time

About the Company:

COL Financial is the Philippines' leading online stockbroker, offering access to both stocks and the country's top funds at COL has reached hundreds of thousands of people in its commitment to help Filipinos build wealth and achieve financial independence through investing.

Job Description:

Legal Function

  • Understand, draft and review contracts and other legal documentation
  • Handle the corporate secretarial matters of the COL group
  • Monitor legal developments and provides recommendations to mitigate legal risks
  • Assist in the formulation and implementation of the legal strategy of the COL group and the companies in that group
  • Respond to correspondences from regulators
  • Liaise with third parties, including regulatory agencies, on various matters
  • Provide legal training and education to staff and management on various legal topics

Compliance Function

  • Monitor and ensure compliance with applicable laws, and rules and regulations of regulatory agencies, including all disclosure requirements of the COL group with the various regulators
  • Liaise with internal and external stakeholders on different compliance concerns
  • Will be required to take the Associated Person exam

Others

  • Act as notary

Job Qualifications:

  • Must have a LLB (Bachelor of Laws) or JD (Juris Doctor) from a reputable law school and be a bar passer
  • At least 1-3 years of experience working in a law firm
  • With understanding of corporate law/compliance regime in the securities industry
  • Good attention to detail; With integrity; no material disciplinary history
  • Can think on their feet and make decisions in line with legal requirements and Company core values and interests
  • Excellent oral and written communication skills
  • Can work independently and with minimum supervision
  • Willing to work at Ortigas, Pasig City

Job Type: Full-time

Benefits:

  • Company events
  • Health insurance
  • Life insurance

Work Location: In person



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