Legal and Compliance Officer

2 hours ago


Pasig, National Capital Region, Philippines COL Financial Group, Inc. Full time $40,000 - $80,000 per year

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

Requirements:

  • Must have a LLB or JD 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 securities industry
  • Good attention to detail; with integrity; no material disciplinary history
  • Excellent oral and written communication skills
  • Can work independently and with minimum supervision


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