Job Description

The candidate will be responsible for performing the following tasks and duties: We're hiring a Compliance Officer with 3 - 5 years post university experience, preferably with FinTech and Financial Services experience in investments, crypto, banking, payments or other relevant domain. You will be responsible for ensuring the company’s overall compliance with applicable laws relating primarily securities brokerage companies which may in future be expanded to include other financial services licenses. You will be responsible for conducting monitoring/quality assurance/review, and advisory of regulatory and AML/CFT compliance practices including the drafting of relevant compliance management programs/manuals, policies and procedures throughout EasyEquities PH in accordance with applicable laws and in alignment with the group’s broader compliance policies and procedures. You will be required to perform assessments and verification, on a risk-based approach, to assess the effectiveness of the control measures and the level of EasyEquities PH compliance against applicable laws, rules, regulations and standards, and report any non-compliance gaps to Head of Legal/Chief Operating Officer. You will be responsible for all regulatory registrations and reporting to institutions such as the Anti-Money Laundering Council. You will work closely with related business units as well as local Regulators where applicable as part of your accountability to assist Head of Legal/COO in managing EasyEquities PH regulatory compliance risk.

• Perform relevant assessment and analysis to develop a risk-based approach compliance review/testing plan which includes validation of reported resolutions to regulatory directives.
• Design, development and drafting of applicable compliance management programs/manuals, policies and procedures such as the ML and TF prevention program in alignment with the group’s broader policies and procedures and applicable laws.
• Ensure EasyEquities PH client compliance, AML and screening procedures.
• Assist in developing compliance testing approach methodology and scope.
• Execute planned business units review / quality assurance activities pursuant to the approved scope and resources.
• Attend to applicable regulatory registrations such as registration with the Anti-Money Laundering Council (AMLC).
• Report all relevant transactions to the relevant regulatory authorities such as suspicious transaction reporting to the AMLC.
• Working together with stakeholders to address identified issues and gaps.
• Assess EasyEquities PH level of compliance with regulations, identify regulatory gaps/ non-compliances, develop action plan (in collaboration with relevant stakeholder), and report to Head of Legal/COO.
• Monitor progress of rectification and remediation efforts to avoid recurrence of non-compliance issues.
• Submission of regulatory reports under BSP and AML/CTF requirements.
• Assist with new project implementation and process design.
• Assist other members of EasyEquities PH as required.
• Improve on processes to drive efficiencies and change.
• Keep up to date with all changes to applicable legislation affecting EasyEquities PH and attending to any changes required in existing policies and procedures
• Assist with the collation and compilation of additional license applications if and when required
• Advising business on the local law requirements applicable to additional financial services licenses.
• Liaising with the local regulatory authorities as and when required.

Requirements (relevant skills & qualifications):

• Must be a seasoned compliance professional with 3 – 5 years’ experience as a Compliance Manager, in Financial Services and with local regulatory experience.
• Preferably have FinTech/ tech experience or worked for a software development firm.
• Exudes confidence and ability to exercise good judgment in handling sensitive information
• A good understanding of the concepts of Risk Management, Internal Controls, Compliance and Internal Audit.
• Knowledgeable of statutory and regulatory, including AML/CFT obligations governing financial services organizations in the Philippines.
• Knowledgeable of laws and regulations applicable to financial services companies in particular those relating to operational and support.
• Proficient in Microsoft products
• Preferably experienced in the Financial Services industry

Desirable behavioral characteristics:

• Great with working in teams

• Task driven

• Problem solving abilities

• Comfortable with remote working

• Organizational skills

• Excellent verbal and written communication skills

• Accurate and high attention to detail

• Diligent and conscientious

• Goes above and beyond what is ordinarily required

KMC Careers If you're a rockstar at what you do and looking to be a part of our amazing story, we want to hear from you! We offer attractive salaries and benefits plus you get to work in some of the Philippines' best flexible workspaces. Our employees also get to enjoy exclusive discounts, rewards and freebies, and invites to our monthly events. We are always recruiting for roles in IT & Development, Marketing, Business Administration, HR & Recruitment and Legal & Finance Roles. KMC provides quality employment opportunities for job-seekers looking for a career that is both challenging and fulfilling. We are also committed to providing equal opportunities at every selection stage. We do not discriminate due to age, gender, sexual orientation, ethnicity, nationality, and religion. Work with Us. Grow with Us. KMC Solutions offers a variety of career opportunities in Metro Manila, Cebu and Clark & Iloilo. We are always looking for talented and enthusiastic individuals who are ready to make their next big career move. Our Culture At KMC, we foster an inclusive and positive workplace for all. We push our members to succeed in everything they do through our collaborative work environment. We encourage our community to work hard and reach their full potential while delivering results that matter for our members and you as professionals. We host amazing and quality events and implement people-centric policies to work flexibly. We ensure that everyone in our expansive network is engaged, from our internal employees and those who work on behalf our offshore partners. Life within KMC: Work Hard Party Harder At KMC, we work hard and we are committed to putting our best foot forward in everything we do. Everyone is encouraged to be an individual while also working for the collective good of the KMC Community. We believe mistakes are opportunities and that you should not present a solution without a problem. We also know when hard work deserves to be recognized so we reward our employees with monthly parties, free trips and much much more!
KMC Work Location: OFFSITE Location: Taguig City, Metro Manila Date Posted: 2022-07-18 Hiring Organization: KMC Solutions | XTN-ACC7730 Career Category: Accounting & Finance