Compliance Associate

ORIX METRO Leasing and Finance Corporation; Makati; On-site; PHP 300,000 - 420,000; Full time

Job summary

ORIX METRO Leasing and Finance Corporation is seeking a Compliance Assistant to support the Compliance Department Head and Chief Compliance Officer. This role involves assisting with regulatory requirements, policy updates, and filing to BSP, SEC, and other regulators while maintaining a complete audit trail.

Responsibilities include monitoring deadlines, assisting with AML/CFT testing, preparing reports, and updating the Compliance Central Library and SWL system.

Qualifications

• Bachelor degree in banking, finance, accounting or internal audit preferred (as applicable).
• 1–2 years of experience in Banking or Financing Industry.
• Proficient in Word, Excel, PowerPoint; ability to work under pressure and meet deadlines.

Responsibilities

• Assist the Compliance Department Head and Chief Compliance Officer on regulatory requirements, policy updates, and SOPs.
• Collates/files documentary requirements prepared by Compliance to BSP, SEC and other regulators.
• Monitors regulatory reports and statutory requirements; assists AML/CML-related submissions.
• Assists in AML/CFT testing procedures and documentation.
• Prepares and submits regular AMLA-related activity reports to the CCO.

Skills

MS Word

MS Excel

PowerPoint

Deadline-driven

Education

Business-related degree

Banking/Finance focus

Job description

Role Overview:

Conduct of Negative Media Reports (NMR), Covered Transaction Reports (CTR), Review of Regulatory Issuances, Monitoring of Compliance Self-Testing (CST) Reports

Key responsibilities:

• Assist the Compliance Department Head, and Chief Compliance Officer on other regulatory requirements, policy, control standards, and standing operating procedures updating.
• Collates/Files all documentary requirements prepared and submitted by Compliance Department to BSP, SEC and other regulatory agencies;
• Assists the CCO in monitoring all the regulatory reports and statutory requirements prescribed by regulatory bodies;
• Assists the Compliance Specialist in preparation of documents required/requested by AMLC, as applicable;
• Assists in the conduct of the compliance testing procedures;
• Prepares and submits regular reports on AMLA related activities to the CCO for AMLCC.
• Prepares a Calendar of Regulatory Deadlines for the fiscal year, and sends a weekly reminder of the deadlines to the concerned units as part of monitoring;
• Updates the Compliance Central ( Library) and Serious Watchlist (SWL) System, whenever necessary;
• Visits the official websites of government regulatory bodies such as but not limited to the BSP, SEC, BIR, etc. to check for newly issued/released/uploaded laws, regulations, circulars and/or other issuances; and download them for uploading to the Compliance Central (Library);
• Generates, prepares and submits CTRs to AMLC.
• Reviews leading newspapers like Manila Bulletin, Philippine Daily Inquirer or Philippine Star to capture and summarize names of persons mentioned in negative media reports for broadcasting to booking units for them to identify OMLF clients and initiate further evaluation for names with positive match in OMLF client database.
• Conducts independent validation of names with negative media reports for possible match in OMLF Client Database by inquiring from the Consolidated Client Information System (CIS) then sends email confirmation to the concerned Account Officers/Branch Heads of OMLF clients with positive match on the names with negative media.
• Serves as the custodian of all documents (soft and hard files)/working papers/ reports of the Compliance Department including its copy of internal audit reports.
• Receives, distributes and files pertinent documents of Compliance Department, as applicable and maintains logbooks to provide document trail.
• Monitors and prepares the necessary request for the office supplies requirement of the unit at least on a monthly basis.
• Provides administrative support to CCO and the Compliance Department.

Basic Qualifications:

• Graduate ofany business-related course, preferably a degree in Banking, Finance, Accounting or Internal Audit
• At least 1 to 2 years of experience inBanking or Financing Industry
• Skilled in Word, Excel, PowerPoint Presentation and Proven ability to work effectively under pressure and meet deadlines
• With knowledge in AML and Independent Compliance Testing Procedures is a plus
• Fresh graduates are welcome to apply and should demonstrate strong academic performance, initiative, and readiness to contribute in a fast-paced work environment