Compliance Associate

3 hours ago

Pasay, National Capital Region, Philippines Infinit-O Full time ₱400,000 - ₱600,000 per year

About the Team:

The Compliance Department is responsible for overseeing and administering the firm's Compliance Programs as well as interacting 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:

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 and;
  • Weekly check of Intralinks, IMA Side Letter Reporting, etc.;
  • Able to 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 firm

Qualification:

  • Basic knowledge of investment products and the banking system;
  • Understanding in VBA macro or SQL
  • Proficient in Microsoft Office, specifically Excel (has ability to 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.
  • Committed to work a mid-shift schedule (1PM to 10PM)

Education and Experience

Bachelor's/College Degree in Financial Management, Banking & Finance, Business Management or other related courses. Fresh graduates are welcome to apply.

Understanding in VBA macro or SQL is an advantage.

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