The Compliance Officer is responsible for overseeing and implementing compliance systems while Investa meets its business goals.
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Key Responsibilities
Implement and manage an effective legal compliance program
Manage the company’s AML program by establishing and/or maintaining existing AML procedures and frameworks to mitigate operational, compliance, and reputational risks
Responsible for the internal control supervision of other employees, agents, salesmen, officers, directors, clerks and stockholders of the investment arms of Investagrams, Inc. (Stock Broker, Mutual Fund Distributor, and future investment-related companies) in compliance with the rules and regulations of the SEC, BSP, AMLA, and the PSE.
Develop procedures and monitor on a daily basis compliance with AMLA and diligently observe reporting procedures such as filing of STRs and CTRs
Create and manage effective action plans in response to audit discoveries and compliance violations, and ensure sufficient awareness of all relevant employees about the company’s AML strategies
Diligently and effectively comply with all the reportorial requirements of the regulators such as the PSE, SEC, BSP and AMLC.
What you should have
Bachelor’s degree in law, finance, business management, or any related field
1 – 3 years’ proven experience in a compliance officer role
Being a licensed AP/CO by the SEC is an advantage
Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
Excellent oral and written communication skills.
Highly-analytical with strong attention to detail.
Exposure to banking or financing services is an advantage
