Compliance Officer

• Compliance (External Entities such as but not limited to SEC, BSP, BIR, CIC, Banks, Investors)

• Takes the lead and assumes accountability of fulfilling Legal compliance requirements. Coordinates with concerned parties as needed.

• Provides reports consistently to keep the management and concerned parties informed of compliance issues and deadlines.

• Monitors the progress of compliance efforts with support from Internal Audit as needed.

• Maintains current and extensive knowledge of the laws and regulatory guidelines by which the company is required to comply with

• Proactively informs (e.g. through emails, formal documentation) concerned parties of any new regulations or updates that could possibly impact fulfillment of compliance requirements.

• Ensures familiarity of concerned parties with compliance requirements

• Works with external auditors and examiners during regulatory compliance examinations; subsequently coordinates queries, findings, and recommendations with concerned departments/ process owners.

• Maintains a systematic and orderly filing of all compliance documents.

• Develops and implements company policies and regulations.

• Oversees all business operations relating to compliance including policies and procedures

• Designs, monitors and implements an effective control system to deal with violations of legal rules and internal policies

• Regularly assesses the efficiency of control systems and recommends effective improvements

• Reviews and evaluates company procedures and reports to identify hidden risks or common issues

• Coordinates with different department managers to review all departmental compliance policies

• Performs periodic audits on company procedures and processes

• Leads employee training sessions on legal and compliance issues

• Supervises compliance officers and team

• Conducts seminars and trainings required by law for covered institutions such as the Anti-Money Laundering Act and Data Privacy Act, among others

• Concurrent Position

• Sits as the Data Protection Officer of the Company

• Others

• Holds other position/s and performs other duties that may be assigned from time to time by the Board of Directors, and/or any Committee of the Board provided that it may not give rise to any conflict-of-interest situation, and that the main function of the office remains to be that of a Compliance Manager

• Conduct daily company contract reviews, including contracts with vendors, suppliers, and users.

• Ensure the company’s on-time filing with the Securities and Exchange Commission (SEC), Bangko Sentral ng Pilipinas (BSP), National Privacy Commission (NPC), and other relevant regulatory bodies.

• Ensure the company’s compliance with applicable Philippine regulatory compliance matters, working with regulators such as the SEC, Philippine Finance Association, Anti-Money Laundering Council (AMLC), NPC, BSP, and others.

• Stay updated with laws and regulations that could impact the company’s operations, both internally and externally.

• Perform routine checks to ensure the company’s adherence to applicable laws and regulations.

• Monitor the issuance of laws and regulations by government agencies like the SEC, NPC, BSP, etc., and circulate these updates to relevant business units.

• Coordinate with external auditors and examiners during regulatory compliance examinations, addressing queries, findings, and recommendations in collaboration with relevant departments and process owners.

• Perform periodic audits on company procedures and processes to ensure compliance.

• Lead employee training sessions on legal and compliance matters.

• Conduct required seminars and training sessions for covered institutions, such as those mandated under the Anti-Money Laundering Act and the Data Privacy Act.

• Act as the company's Corporate Secretary, Data Protection Officer (DPO), and Compliance Officer.