Senior Associate

2 weeks ago

Pasay, National Capital Region, Philippines Infinit-O Full time ₱1,200,000 - ₱2,400,000 per year

About The Team
The Compliance Department is responsible for overseeing and administering the firm's Compliance Programs as well as interacting with the firm's regulators. In addition, the Compliance Team supports the portfolio management team to ensure compliance with client mandates and restrictions.

The Offshore Team supports different Onshore Compliance groups namely Compliance Reporting & Marketing Review, Core Compliance, Investment and Trading Compliance, and Regulatory Reporting.

Specific Duties And Responsibilities
Ø Performance Management

  • Compliance tasks:
  • Preparation and review of daily reports (daily Disclosure of Interest – Short Selling Rule, Investment and Trading Compliance)
  • Preparation, review and uploading of Reporting Portal files in Compliance Task Manager and JIRA
  • Audit of tasks in Compliance Task Manager
  • Preparation and review of disclosure requests
  • Weekly check of Intra-links, IMA Side Letter Reporting, etc.
  • Meet preset Service Level Agreements which covers timeliness and quality of output and strive to exceed customer expectation.
  • Perform other Compliance-related tasks performed by Compliance offshore team or as required by the client.
  • Review and validate regulatory reports prepared by junior staff to ensure accuracy & completeness
  • Develop and implement process improvements to enhance the efficiency and accuracy of regulatory reporting workflows.
  • Lead periodic team meetings to discuss reporting updates, issue resolution, etc.,

Ø All other tasks that may be assigned

Requirements
Qualification:

  • Basic knowledge of investment products and the banking system;
  • Understanding in VBA macro or SQL (or Python)
  • Proficient in Microsoft Office, specifically Excel (can use basic to intermediate formulas)
  • Superior written, verbal and interpersonal communication skills
  • Strong analytical skills and high attention to detail
  • Highly organized and with strong multi-tasking and prioritization skills
  • Must be proactive, motivated, detail-oriented, a team player
  • Familiarity with Service Level Agreements (SLA) and performance metrics

Education And Experience

  • Bachelor's/College Degree in Financial Management, Banking & Finance, Business Management or another related course
  • Understanding in VBA macro/SQL/Python is an advantage.
  • Has 3 years or more working in the same industry (Financial Services, Investment management)

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