Trading Risk & Compliance Leader

WHR Global Consulting; Philippines; On-site; PHP 900,000 - 1,300,000; Full time

Job summary

WHR Global Consulting in Makati is seeking a highly capable Risk and Compliance Officer to oversee trading risk controls, regulatory compliance framework, and operational safeguards for online trading operations and programs such as Meta Alpha Edge.

You will report to the Senior Operations Manager and work with Trading, Operations, IT, and Sales to ensure compliance with SRC, SEC, AMLA, KYC and Data Privacy laws, strengthen internal controls, monitor risk, and prepare regulatory reports.

Qualifications

• Bachelor's degree in Finance, Economics, Accounting, Risk Management, or related; a Master’s degree is an advantage.
• Professional Certification (FRM, CRC, Certified Compliance Professional, 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.

Responsibilities

• Monitor trading exposure, margin levels, leverage, and concentration risks.
• Enforce risk limits and escalation procedures.
• Review unusual trading activity and turnover metrics for managed strategies.
• 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.
• 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.

Skills

Risk management

Regulatory compliance

Data privacy

Analytical skills

Cross-functional coordination

Education

Bachelor's degree in Finance/Economics/Accounting

Job description

WHR Global Consulting in Makati is seeking a highly capable Risk and Compliance Officer to oversee trading risk controls, regulatory compliance framework, and operational safeguards for online trading operations and programs such as Meta Alpha Edge.

You will report to the Senior Operations Manager and work with Trading, Operations, IT, and Sales to ensure compliance with SRC, SEC, AMLA, KYC and Data Privacy laws, strengthen internal controls, monitor risk, and prepare regulatory reports.