Compliance officer
2 weeks ago
Develop, implement, and monitor the company's comprehensive compliance program in line with SEC regulations, Anti-Money Laundering Act (AMLA), Data Privacy Act of 2012, and other relevant laws.
Conduct regular risk assessments, internal audits, and monitoring to identify and mitigate compliance risks.
Oversee Know Your Customer (KYC), Customer Due Diligence (CDD), and Anti-Money Laundering / Counter-Financing of Terrorism (AML/CFT) processes.
Prepare and submit timely reports, returns, renewals to regulatory bodies such as SEC, AMLC, and other authorities.
Advise senior management on compliance matters, regulatory changes, and best practices.
Develop and deliver training programs for employees on compliance policies, ethical standards, and regulatory requirements.
Investigate and resolve potential compliance violations, recommending corrective actions.
Liaise with external regulators, auditors, and legal counsel as needed.
Maintain up-to-date documentation of policies, procedures, and compliance records.
Key Responsibilities
Develop, implement, and monitor the company's comprehensive compliance program in line with SEC regulations, Anti-Money Laundering Act (AMLA), Data Privacy Act of 2012, and other relevant laws.
Conduct regular risk assessments, internal audits, and monitoring to identify and mitigate compliance risks.
Oversee Know Your Customer (KYC), Customer Due Diligence (CDD), and Anti-Money Laundering / Counter-Financing of Terrorism (AML/CFT) processes.
Prepare and submit timely reports, returns, renewals to regulatory bodies such as SEC, AMLC, and other authorities.
Advise senior management on compliance matters, regulatory changes, and best practices.
Develop and deliver training programs for employees on compliance policies, ethical standards, and regulatory requirements.
Investigate and resolve potential compliance violations, recommending corrective actions.
Liaise with external regulators, auditors, and legal counsel as needed.
Maintain up-to-date documentation of policies, procedures, and compliance records.
Qualifications and Requirements
Bachelor's degree in Law, Finance, Accounting, or a related field.
At least 3-5 years of experience in compliance, risk management, internal audit, or legal roles within the financial services industry, preferably in lending, financing, or banking companies.
In-depth knowledge of Philippine financial regulations, including SEC rules for lending companies, AMLA, Data Privacy Act, and consumer protection laws.
Strong analytical skills, attention to detail, and high ethical standards.
Excellent communication and interpersonal skills, with the ability to interact with all levels of the organization, especially with SEC.
Proficient in English (written and spoken), will work and communicate with Chinese.
Ability to work independently and handle confidential information with integrity.
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