Compliance Audit Associate - Fieldwork & Insights

Philippine Dealing System Holdings Corp.; Makati; On-site; PHP 480,000 - 600,000; Full time

Job summary

Philippine Dealing System Holdings Corp. in Makati seeks an experienced Internal Audit professional to conduct fieldwork, review policies, and assess regulatory compliance across dealing participants. The role emphasizes independence, confidentiality, and collaboration with in-house auditors to produce actionable reports.

The ideal candidate has 3+ years of auditing experience, strong communication skills, and familiarity with securities laws. Non-CPA applicants are welcome.

Qualifications

• Bachelor’s degree in Accounting, Internal Auditing, Finance, Management, or related field.
• At least 3 years of auditing experience (internal, external, operational, or compliance).
• Experience in a financial institution or auditing firm is a plus but not required.
• Familiarity with process improvement, compliance, and risk management is essential.
• Knowledge of securities laws, rules, and regulations is an advantage.
• Strong attention to detail, organization, and time management.
• Proactive and able to work independently to deliver quality results.
• Good communication skills (written and oral).
• Non-CPA are welcome to apply.

Responsibilities

• Conduct fieldwork and on-site inspections at the offices of Dealing Participants.
• Review internal policies, operational procedures, and transaction records to assess regulatory compliance.
• Evaluate compliance with SRC, IRR, and company rules and regulations.
• Identify and document compliance gaps or control deficiencies.
• Collaborate with in-house auditors in preparing audit reports with findings and actionable recommendations.
• Ensure timely completion of assigned audit tasks in accordance with the approved audit calendar.
• Maintain confidentiality of all audit information and uphold professional independence.

Skills

Attention to detail

Organization

Time management

Written and verbal communication

Proactive

Independent work

Professional independence

Education

Bachelor’s degree in Accounting, Internal Auditing, Finance, Management, or related field

Job description

Philippine Dealing System Holdings Corp. in Makati seeks an experienced Internal Audit professional to conduct fieldwork, review policies, and assess regulatory compliance across dealing participants. The role emphasizes independence, confidentiality, and collaboration with in-house auditors to produce actionable reports.

The ideal candidate has 3+ years of auditing experience, strong communication skills, and familiarity with securities laws. Non-CPA applicants are welcome.