Risk And Compliance Officer

EBM Talent Bucket Inc.; Makati; On-site; PHP 446,400 - 669,600; Full time

Benefits offered by this job

Health insurance (HMO)

Retirement plan

Incentives for employee recognition

Job summary

A financial services company in Makati is seeking an experienced professional for a regulatory compliance position. Candidates should have a bachelor's degree in finance or a related field, with at least 3 years of experience in financial institutions. The role involves ensuring compliance with regulations, managing operational risks, and supporting management through risk reporting. Strong analytical skills and the ability to work under pressure are essential. The company highlights employee recognition and wellness programs.

Qualifications

• Minimum of 3 years of experience in a brokerage firm, investment company, or financial institution.
• Experience in online trading operations highly preferred.
• Familiarity with compliance reporting and regulatory frameworks.

Responsibilities

• Ensure compliance with SRC, SEC regulations, AMLA, KYC, and Data Privacy laws.
• Identify trading and system vulnerabilities and recommend improvements.
• Prepare regulatory reports and coordinate audits and inspections.

Skills

Strong analytical skills

Regulatory compliance knowledge

Cross-functional coordination skills

Ability to work under pressure

Education

Bachelor's degree in Finance, Economics, Accounting, Risk Management or related

Master’s degree in a related field

Job description

On-site - Makati 3-5 Yrs Exp Bachelor Full-time

Job Description

Employee Recognition and Rewards

Incentives

Insurance Health & Wellness

HMO

Retirement Plan

Qualifications

• Bachelor's degree in Finance, Economics, Accounting, Risk Management or related; Master’s degree is an advantage
• Professional Certification (Financial Risk Manager, Certified Risk Manager, Certified Compliance Professional or AML certifications) is a plus.
• At least 3 years of experience in a brokerage firm, investment company, or financial institution
• Experience in online trading operations is highly preferred
• Exposure to margin trading, leverage products, or derivatives is an advantage
• Experience working within an SEC-regulated environment
• Strong understanding of trading systems and market risk metrics
• Knowledge of compliance reporting and regulatory frameworks
• Strong analytical and documentation skills
• Ability to interpret regulatory circulars and implement policies effectively
• High integrity and ethical standards
• Strong independent judgment
• Detail-oriented and highly organized
• Ability to work under pressure and manage regulatory timelines
• Strong communication and cross-functional coordination skills

Regulatory Compliance & Governance

• Ensure compliance with SRC, SEC regulations, AMLA, KYC, and Data Privacy laws
• Monitor licensing of Associated Persons
• Prepare regulatory reports and coordinate audits and inspections

Operational Risk & Internal Controls

• Identify trading and system vulnerabilities
• Strengthen cybersecurity and access controls with IT
• Maintain internal risk policies and support business continuity planning
• Provide risk reports to Senior Management
• Maintain risk registers and compliance logs
• Recommend policy improvements and define risk appetite guidelines