Certified Compliance Officer (SEC / CSR)

Certified Compliance Officer

Work Arrangement : 100% On-site

Schedule : Day Shift

Location : Ortigas

Employment Type : Full-time

Salary : Php 90,000 to Php 100,000 per month

About the Role :

The Senior Compliance Officer / Associated Person is responsible for overseeing the company’s compliance with applicable laws, rules, and regulatory requirements, particularly those set by the Securities and Exchange Commission (SEC), Philippine Stock Exchange (PSE), Capital Markets Integrity Corporation (CMIC), Anti-Money Laundering Council (AMLC), and other financial regulatory bodies. This role ensures that the company maintains robust internal controls, policies, and procedures to manage compliance risks and fosters a strong culture of integrity and ethical conduct across the organization.

Key Responsibilities :

Regulatory Compliance :

• Ensure full compliance with applicable regulations from SEC, PSE, CMIC, AMLC, and other governing bodies
• Maintain up-to-date knowledge of regulatory changes and assess their impact on the firm’s operations
• Prepare and oversee the timely submission of regulatory reports, disclosures, and other required filings
• Act as a point of contact for regulatory examinations, audits, and inquiries

Internal Controls and Risk Management :

Training and Culture Building :

Anti-Money Laundering (AML) and Know-Your-Customer (KYC) :

Liaison and Reporting :

Qualifications :

Candidates with attached CV and relevant experience will be considered for a phone interview.