Compliance Specialist  

Job Purpose

• Ensures the company’s adherence/ compliance with governmental/ regulatory agencies and with the terms and conditions of contracts with the company’s banks, investors, and other third parties. (Compliance)

KEY ACCOUNTABILITIES

SUPPORTING INFORMATION

1. Compliance (External Entities such as but not limited to SEC, BIR, CIC, Banks, Investors)
   1. Takes the lead and assumes accountability of fulfilling compliance requirements. Coordinates with concerned parties (e.g. Finance) as needed.
   2. Provides reports consistently to keep the senior management and concerned parties informed of compliance issues and deadlines. Monitors the progress of compliance efforts with support from Internal Audit as needed.
2. Maintains current and extensive knowledge of the laws and regulatory guidelines by which the company is required to comply with.
   1. Proactively informs (e.g. through emails, formal documentation) concerned parties of any new regulations or updates that could possibly impact fulfillment of compliance requirements.
   2. Ensures familiarity of concerned parties with compliance requirements
3. Works with external auditors and examiners during regulatory compliance examinations. Subsequently coordinates queries, findings, and recommendations with concerned departments process owners.
4. Maintains a systematic and orderly filing of all compliance documents.

Others

1. Takes on other duties and responsibilities that may be assigned from time to time.

KEY RELATIONSHIPS

Internal

• CEO
• Admin
• Finance
• Internal Audit

External

• Government regulatory agencies
• LGUs and other branches of government
• Legal Advisors
• Banks
• External Auditors

PERSON SPECIFICATIONS

Education:

Graduate of any 4-year course; preferably Accountancy degree; CPA definitely an advantage.

Experience:

• Experience/ familiarity with relevant government rules and regulations on financing/pension/loan industry
• Experience/ familiarity in dealing with different government agencies/ regulatory bodies (e.g. SEC, BIR, LGUs, etc.)
• Has experience doing fieldwork
• Proficient in relevant computer applications (word processing, spreadsheet, graph, database)
• Knowledge of clerical and administrative procedures
• Reliable data entry skills; displays thoroughness and attention to detail

COMPETENCY REQUIREMENTS

Core

• Leadership and Teamwork
• Ethical Standards and Integrity
• Adaptability and Innovation
• Dedication and Excellence

Technical

• Database Management
• Policy writing/ Technical writing
• Knowledge of Applicable Government Regulations (SEC, BIR, CIC)
• Knowledge of Auditing Principles
• Knowledge of Financing/Pension Loan Industry Practices
• Presentation Skills