Compliance Staff | Assistant
COL Financial Group, Inc.
- Pasig, Philippines2401-B East Tower, Philippine Stock Exchange Center, Exchange rd, Ortigas, Pasig, Metro Manila, PhilippinesPasigMetro ManilaPhilippinesPhilippines
- Full timeFULL_TIME
Expired 3 years ago
2021-03-16T16:00:00+00:00Job closed.
Job Description
- Assist the Compliance Officers in:
- Monitoring compliance with applicable laws, and rules and regulations of regulatory agencies
- Ensuring compliance with the reportorial requirements and other requests of the SEC, PSE, CMIC, and other regulatory authorities
- Facilitate the application of SEC licenses of Company personnel as well as the renewal thereof
- Review documents submitted in relation to account opening and accept accounts with complete requirements; conduct enhanced due diligence review for accounts tagged as high risk
- Assist the notary public in the notarization and preparation of notarial reports
- Liase with internal and external stakeholders on different compliance concerns
- May be required to take the Associate Person exam in 3 years
Minimum Qualifications
- Bachelor's Degree in any course, preferably pre-law major or related courses
- Excellent oral and written communication skills
- Strong organization skills and good attention to detail
- Can work independently and with minimum supervision
Perks and Benefits
Retirement Benefit Plans
Special Leave Benefits for Women
Single Parent Leave
Life Insurance
Medical / Health Insurance
Paid Sick Leave
Paid Bereavement/Family Leave
Paid Holidays
Paid Vacation Leave
Transportation Allowances
Maternity & Paternity Leave
Required Skills
- Record Keeping
- Legal Writing
- Clerical Skills
- Attention to Detail
- Data Management
Jobs Summary
- Job Level
- Associate / Supervisor
- Job Category
- Legal
- Educational Requirement
- Bachelor's degree graduate
- Recruiter response to application
- Always
- Office Address
- 2401-B East Tower, Philippine Stock Exchange Center, Exchange rd, Ortigas
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About COL Financial Group, Inc.
COL is the country's most trusted wealth-building partner, helping nearly 400,000 Filipinos invest in stocks and mutual funds.
For over 20 years now, COL has been committed to empower Filipinos to build their wealth and achieve financial independence, by providing them the tools and guidance they need to make smarter investing decisions.