Regulatory Compliance Unit Head

Overview

BDO Unibank Mandaluyong, National Capital Region, Philippines

The Compliance Unit Head leads initiatives for the effective implementation of the Bank's compliance program, including the identification, monitoring, and management of compliance risks. The Unit Head also plays a key role in advancing the Compliance Group's objectives by ensuring that regulatory risks are proactively addressed in alignment with the Bank's strategic goals.

Covered Units :

Treasury

Enterprise Services Group-COG Treasury Operations

Risk Management-Market Liquidity Risk Management

Other business and operational units covered by the above areas

Responsibilities :

• Identifies regulatory matters and legislations; assess and monitor compliance risk
• Ensures that the Business / Support Units are advised of new / amended regulations and legislations through the issuance of synopsis and key takeaways
• Reports compliance issues to Compliance Management, Board Audit Committee and / or Senior Management, as applicable
• Prepares / Reviews required reports of the Associated Person and Compliance Group to Regulators (BSP, SEC, PDEx, etc.)
• Manages and coordinates requirements for prior, during and post regulatory on-site review
• Ensure compliance with securities laws, rules, and internal policies by monitoring sales activities and business conduct
• Monitors the personal trading activities of officers with the rank of Senior Vice Presidents and up
• Oversees the implementation of the Bank's Personal Trading Policy

Qualifications :

• Bachelor's degree holder
• Minimum of 5 years experience in Regulatory Compliance gained from a bank or financial institution.
• Willing to work on site and be assigned in Makati / Ortigas

Seniority level

• Director

Employment type

• Full-time

Job function

• Management

Industries

• Financial Services and Banking

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