Compliance Officer (Regulatory and AML) - Muntinlupa

Key Responsibilities:

1. Regulatory Compliance Framework

• Assist the Head of Legal and Compliance in monitoring and ensuring compliance with all relevant laws, regulations, and reportorial requirements.
• Liaise with regulatory bodies, including the Securities and Exchange Commission (SEC), Local Government Units(LGU), Philippines Amusement and Gaming Corporation (PAGCOR) and Bureau of Internal Revenue (BIR). Experiences or knowledge with Anti-Money Laundering Council (AMLC), National Privacy Commission (NPC), and other relevant government entities is a plus.
• Implement, operationalize, and maintain compliance policies, procedures, and internal controls, ensuring they align with company objectives and industry best practices.
• Ensure timely and accurate submission of all regulatory compliance reports to relevant authorities and external partners.
• Collaborate with internal teams to enforce compliance policies, procedures, and controls across the organization.
• Assist the Head of Legal and Compliance in developing compliance reports for the board of directors and other internal stakeholders.
• Report to management and business units any compliance breaches and/or incidents, and provide findings, analysis, and recommendations in relation to the breach/incident.
• Conduct regular compliance gap analyses of internal controls to ensure compliance with various applicable laws; recommend and implement remedial actions and process improvements.
• Ensure management and employees are adequately trained on applicable laws, regulations, and responsibilities for internal controls, and maintain up-to-date training materials.
• Cascade, implement, and maintain relevant regulatory compliance policies and other internal policies that adhere to company standards and internal guidelines.
• Implement and maintain regulatory compliance policies and procedures in accordance with company standards and internal guidelines.
• Collaborate with the Data Privacy Officer (DPO) and Human Resources (HR) to implement the company’s data privacy program and training initiatives.
• Assist the Head of Legal and Compliance with other compliance requirements, including but not limited to licenses and permits with local government units.

1. SEC Compliance

• Help oversee compliance with SEC regulatory and reportorial requirements specific to financing companies and online lending platforms.
• Assist the Head of Legal and Compliance for all SEC-related matters, audits, and inquiries.
• Coordinate with internal cross-functional teams and external partners to ensure compliance with SEC regulatory and reportorial requirements, including the timely filing of reports and documents.

1. LGU Compliance

• Regulatory Compliance: Ensure LGU adherence to the Local Government Code, COA, DENR, DOH, DILG, and other national policies.
• Documentation & Reporting: Maintain records, prepare compliance reports, and submit required disclosures to government agencies.
• Business & Permit Monitoring: Ensure proper issuance of business permits, zoning, and licensing regulations.
• Environmental & Safety Regulations: Ensure LGU follows solid waste management, disaster preparedness, and health safety protocols.
• Policy Development & Implementation: Assist in drafting local policies to improve governance and service delivery.

1. PAGCOR Compliance

• Regulatory Compliance: Ensure LGU adherence to the Local Government Code, COA, DENR, DOH, DILG, and other national policies.
• Documentation & Reporting: Maintain records, prepare compliance reports, and submit required disclosures to government agencies.
• Business & Permit Monitoring: Ensure proper issuance of business permits, zoning, and licensing regulations.
• Monitoring and Audits: Conduct internal audits and spot checks to verify ongoing compliance. Implement corrective actions based on audit findings or PAGCOR recommendations.
• Policy Development & Implementation: Assist in drafting local policies to improve governance and service delivery.

1. Relationship Building/Maintenance

• Regulatory Liaison and Networking: Build and maintain relationships with key regulatory authorities, facilitating communication and compliance updates.
• Internal Audits and Investigations: Participate in internal investigations related to potential compliance violations and ensure corrective measures are implemented.

Qualifications:

• Bachelor’s degree in Compliance, Law, Risk Management, Finance, or related field.
• 3–5 years of experience in a compliance or risk-related role, preferably in banking, finance, fintech, or gaming industries.
• Strong working knowledge of AML/CTF laws, regulatory compliance, and internal controls.
• Effective communication and report writing skills.
• Proficiency in compliance software and analytics tools.
• Excellent analytical, problem-solving, and documentation skills.
• Strong sense of integrity, accountability, and confidentiality.
• Open only to Taiwanese, Filipino-Chinese applicants and Foreigner with 13A Visa.
• Can speak, read, and write fluently in both English and Mandarin; knowledge of the host country’s language is an advantage.
• Amenable to work at BGC, Taguig City