Total 2 Senior Executive compliance manager job vacancies in legazpi city

Responsibilities: 

• Ensure that the company complies with local statutory and regulatory requirements of BIR, SEC, PEZA, BOI, LGU. 

• Main point person during compliance audit with BIR and LGU. 

• Conduct or direct the internal investigation of compliance issues. 

• Helps maintain records of all financial transactions ensuring accuracy and completeness. 

• Consult with corporate legal counsel as necessary to address difficult legal compliance issues. 

• Collaborate with Human Resources, Payroll, Legal, Finance and other departments to ensure the consistent implementation of compliance practices. 

• Liaise with government agencies for compliance completion. 

• Ensure that company’s policy and procedure is align with to-date regulations. 

Regulatory Research

• Tracking regulatory rules changes in APAC and help managing the SFC, JFSA, MAS, ASIC and other regulators’ calendars (consultation papers, regulatory updates/changes implementation date etc) and maintain the internal tracking records for distribution to Regulatory Compliance Staff
• Conducting research on regulatory changes
• Updating current client Asian regulatory information packs for changes.
• Preparing client alerts on breaking regulatory news issues.

FRR work

• Review Financial Resource Rules (“FRR”) Form of Licensed Corporations (“LC”) as per SFC regulatory requirements.
• Monitor liquidity and capital positions of LCs to ensure compliance with relevant rules and regulations.
• Provide consultation in forecasting the financial impact for potential investments, dividend declaration etc on liquidity of the LC.
• Assist in post audit FRR and Account Disclosure Document (“ADD”) required to be submitted to the SFC.
• Handle other FRR matters and basic enquires from the regulators, clients and other parties.

Ongoing Compliance Support

• Review first draft compliance reports prepared by juniors.
• Timely reply and follow-up with client enquiries and queries relating to the tasks performed.
• Review of compliance registers and reports prepared by junior .

Policies & Procedures

• Maintaining existing templates for compliance policies and procedures
• Issuing client customised templates
• Assisting with updating the template for regulatory changes.
• Assisting to prepare mock inspection and compliance healthcheck  reports.

Internal Communications and Information

• Stay up to date with new regulatory changes and developments to brief HK RegCom team members

Client Onboarding

• Assist to research information about clients and prospects.

Others

• Ensure information is up-to-date, accurate and aligned with company standards and requirements.
• Maintain files and records in a proper and organized manner.
• Perform ad hoc support and other duties assigned.