Associated Person / Assistant Compliance

MAIN RESPONSIBILITIES:

• Responsible for the review the operations of the company's group in relation to compliance with the rules and regulations of the regulators, the internal policies and procedures and the securities laws.
• Monitoring and formulation of policies and procedure to ensure adherence and compliance by the UNICAP GROUP to PSE, SEC, AMLA rules and BSP regulations.

ACCOUNTABILITIES

• Detecting the non-compliance issues so that the corrective action can be taken.
• To act as intermediary between the Exchange/ regulators
• Preparing the compliance report to the Group Compliance Officer

Supporting Activities

• Actively monitoring the business and operations of UNICAP GROUP.
• Periodic review of the sensitive areas as follows:
  • Employee & Directors transactions
  • Account on-boarding
  • Stock Position Reconciliation
  • Complaint record
  • Risk Based Capital Adequacy Ratio Report
  • Books and Records such as but not limited to Bank Reconciliation Reports, Trial Balance ,subsidiary ledgers and other transaction supporting documents. 

• To coordinate and response to the regulatory body query and request for information
• To assist on Audit, Inspection and Investigation by authority body.
• Prepare fair and true report.
  • Being articulate and technically sound in all areas of compliance when responding to the Head.

Outcome/ deliverables

• Detecting the non-compliance issues so that the corrective action can be taken. Findings/Compliance Report
• Prompt response to the regulatory body query and request for information and immediate attention on key issues/areas of concern.
• Preparing the Monthly Compliance Report

JOB DESCRIPTION

• Internal Process:
  • To monitor and ensure that all system and procedures are in place and maintained
  • To review the operational manuals
  • To investigate non-compliance issues
  • To monitor the business and operations
  • Reviewing Operational Manuals/ Policies
  • Submission of various regulatory reports.
  • Establishing and drafting Compliance Policies
• To prevent monetary losses due to non-compliance and weaknesses in the internal policies and procedures.
• To promote compliance culture-making UNICAP GROUP attractive to investors/ clients.
• To provide compliance advice and guidance to internal customers.
  • To assist/ support regulators on compliance, inspection, and audit.
  • To monitor the handling of the clients complaint.
• Provides regulatory training on all employees and design training programs applicable to the needs of each department
• Safeguarding the reputation of the group

QUALIFICATIONS:

• Bachelor Degree in finance, Accounting, Economics or any business course,
• 2 -5 years experience in Risk, Compliance or Audit
• Understanding of Corporate Governance Requirements and principle of risk management and compliance principle
• Must be licensed by the SEC to act as an Associated Person, Computer literate, Planning, Leadership Skills, Problem-Solving, Business Analysis, Good Interpersonal skills, Excellent written and verbal Communication Skills
• Integrity, Excellence, Customer Focus, Teamwork, Innovation