Regulatory Compliance Lead (Fintech, SEC/AMLC)

Dempsey Resource Management; San Miguel; On-site; PHP 1,800,000 - 2,400,000; Full time

Benefits offered by this job

Regulatory compliance allowance

Competitive salary

Job summary

Dempsey Resource Management seeks a highly qualified regulatory and corporate governance counsel to oversee SEC and AMLC relations and ensure compliant lending operations in the Philippines.

The role requires JD, bar admission, 4–6 years post-bar experience (including 2+ years in qualified Philippine OLP institutions) with fintech/lending exposure; you will draft key documents, implement privacy policies, manage external counsel, and advise on regulatory risk across the organization.

Qualifications

• Must hold Juris Doctor (JD) from a Philippine law school.
• Active Bar passer and IBP member.
• 4–6 years post-bar experience with at least 2 years in qualifying Philippine OLP institutions; fintech/lending experience required.
• Proven ability to manage SEC and AMLC liaison independently.
• Knowledge of RA 9474, AMLC regs and SEC memoranda.
• Experience with external law firm management and cross-institutional collaboration.
• Proficient in English; Filipino language skill is a plus.
• Strong risk awareness and cross-departmental coordination.

Responsibilities

• Regulatory & Government Liaison: primary contact for SEC and AMLC, managing daily regulatory communications and coordination.
• Oversee full SEC compliance, including lending permit applications and amendments, annual regulatory reports and mandatory disclosures.
• Manage AMLC compliance work, covering CTR/STR submissions and official inquiry/audit responses.
• Legal & Corporate Governance: draft, review and standardize loan agreements, promissory notes, disclosure statements, collection agency contracts and other core legal documents.
• Develop and implement internal policies for data privacy (NPC), consumer protection and fair debt collection.
• Handle routine corporate housekeeping, including board resolutions and corporate secretarial records maintenance.
• Litigation, Risk & External Legal Management: manage loan default-related pre-legal collections, small claims and civil litigation cases.
• Advise management on legal risks regarding interest rate policies, new lending products and collection strategies.
• Manage external law firm cooperation: select external legal counsel, assign and supervise their work on litigation, compliance consulting and regulatory responses, review legal deliverables, and control external legal costs.
• Summarize operational legal risks and support continuous optimization of company compliance systems.

Skills

Regulatory liaison

Legal risk assessment

Cross-department coordination

English proficiency

Education

Juris Doctor (JD)

Job description

Dempsey Resource Management seeks a highly qualified regulatory and corporate governance counsel to oversee SEC and AMLC relations and ensure compliant lending operations in the Philippines.

The role requires JD, bar admission, 4–6 years post-bar experience (including 2+ years in qualified Philippine OLP institutions) with fintech/lending exposure; you will draft key documents, implement privacy policies, manage external counsel, and advise on regulatory risk across the organization.