Junior Auditor (CPA)

Capital Markets Integrity Corporation; Taguig; Sur place; PHP 480 000 - 780 000; Plein temps

Résumé du poste

Capital Markets Integrity Corporation (CMIC) is seeking a detail‑oriented CPA to join our Audit and Compliance team in the Philippines. You will assist in risk assessment of Trading Participants and support SEC‑compliant audits across processes and controls.

The role emphasizes meticulous documentation, timely communication, and collaboration with senior auditors to strengthen regulatory compliance and governance within the capital markets infrastructure.

Qualifications

• Certified Public Accountant (CPA) is required for the role.
• Strong attention to detail, time management, communication, and project management are essential.

Responsabilités

• Assists in risk assessment of Trading Participants and audit plan development.
• Conducts regulatory compliance audits based on SEC-approved audit programs.
• Keeps senior auditors informed of progress and documents procedures.
• Archives audit working papers and reports findings to TP's officers or compliance officer.
• Prepares official audit correspondence and reports for SEC submission.
• Assists in exit conferences and communicates recommendations to prevent violations.
• Monitors TP reports and assists in RBCA-related monthly reviews.

Connaissances

Attention to details

Time management

Oral and written communication

Project management

Formation

CPA (Certified Public Accountant)

Description du poste

JOB QUALIFICATIONS

• Candidate must be a Certified Public Accountant (CPA)
• Required Skill(s): Attention to details, time management, oral and written communication, project management

Duties and Responsibilities

• 1. Assists in the risk assessment of the Trading Participants (TPs) and in the establishment of the audit plan e.g. formulation of audit program and procedures for regular compliance audit.
• 2. Conducts regulatory compliance audit based on the audit program approved by the Securities and Exchange Commission (SEC)
• a. Keeps the Senior Auditor and/or the Head of the Audit and Compliance Department (ACD) fully informed of the progress on assignments and conforms to the Company's administrative policies and requirements and those of TPs as applicable.
• b. Documents audit procedures performed
• c. Archives audit working papers
• d. Identifies and communicates issues and violations to the TP's associated person or compliance officer.
• e. Prepares official correspondence e.g. Audit Authority Letter, Show Cause Letter, Sanction Letter and Reports on the Result of Regular Audit to be submitted to the SEC.
• f. Assists the Senior Auditor and/ or Head ACD during exit conference with the TP's nominee and Associated Person.
• g. Conveys recommendations to the TP's officers to prevent violation and comply with the Securities Laws.
• 3. Monitors reports submitted by the TPs such as Quarterly Compliance Report, Movement of PSE Shares, SEC Form 30.1, Internal/ Accredited Training Reports, List of Directors, Officers, Agents and Employees, and Employee Movement.
• 4. Conducts special audit based on the objective, purpose and requirement endorsed by Investigation and Enforcement Department or Surveillance Department.
• 5. Assists the Senior Auditor/ Head of ACD in the development of standard operating policies and the establishment or amendment of Rules and Regulations.
• 6. Conducts periodic review of RBCA reports submitted by the TPs and assists in the preparation of Monthly report Reports related to RBCA review.
• 7. Assists the Senior Auditor/ Head of ACD with the Failed TPs including the update and monitoring of the books and facilitation of disbursements of claims and requests for stock transfers.