About Security BankWe are the Philippines' largest independent bank, having won countless awards over the years including the most prestigious industry award in both 2015 and 2016—the Bank of the Year – Philippines by The Banker.We're changing how people bank. From the moment customers enter our branches to their experience online, we make them feel valued and empowered.Now, with more than 300 branches spanning the country, BetterBankinghas become the gold standard in improving the banking lives of millions of Filipinos. But we're far from done.In our constant pursuit of excellence and improvement, we create teams that support our business and each other.The RoleAs an Associated Person/ Auxilliary Governance Officer, you will oversee and coordinate the implementation of the compliance system and likewise the identification, monitoring and control or compliance risks; Responsible for ensuring the maintenance of a system to supervise the activities of all persons employed by the broker dealer who are directly and indirectly related to the conduct of its securities business.How you'll contributeMonitor and manage action plans to resolve issues committed in the RCSAs, Risk Assessments, Issue Escalation/Incident Report, BCP test results, Internal/External Audit findings, Compliance testing findings etc.Act as a liaison personnel for internal and external audits (including BSP, SEC, external auditor, etc.).Collaborate with Compliance, Audit and Risk Management on matters related but not limited to: Control & Monitoring, IT Risk, Information Security, Business Continuity Management, Data Privacy, Compliance Risk etc., representing the group/division/unit.Act as a BCP representative of the group, participates in planning and testing, reviewing, and obtaining plans from vendor partners (where applicable) to ensure that contingent measures are in place.Generate reports and assessment findings of the assigned group using ORM andCompliance Tools to be submitted to the governance offices for validation and confirmation.Responsible for information dissemination and training of the group on updated regulatory circulars and policies to ensure awareness of changes that will impact operations.Represent the group in internal or external meetings related to governance matters. Ensure prompt submission of audit requirements, replies to issues, as well as monitoring of resolution.Oversee and coordinates the implementation of the compliance system.Ensure that there is an audit trail which enables compliance with applicable laws, Exchange, clearing agency and other SRO rules.Oversee compliance with legislative and other regulatory requirements such as notifying the SEC of material changes in information previously filed, maintaining registers, books of accounts and other records, compliance with rules, orders and laws relating to trading, issuing confirmation receipts, compliance with margin rules, net capital and other financial requirements.Review the Corporate Governance manual of the subsidiary and drafts revisions to incorporate changes/ updates in rules, regulations and laws, if any.Ensure that SBE's Business Continuity Plan is in place and at least an annual BCP testing is carried out.Assist SBE in regulatory requirement for their Marketing / business plan.Participate in the formulation of business requirement for any system enhancement; to ensure compliance with regulatory bodies.Act as a liaison personnel between SBE and Regulatory bodies such as SEC, PSE, BSP and SBC Compliance Group.Attends to Regulatory Bodies (PSE/ CMIC, SEC, BSP) during conduct of their regular / special audit, and coordinate with SBE Operation & Marketing for any requirement during audit engagement.Ensure timely posting of duly approved manuals, policies and procedures in Compliance group Sharepoint or other designated intranet portal and their dissemination to all concerned office/personnel.Maintains harmonious relationships with various regulatory bodies (PSE, CMIC, SEC & BSP).What we're looking forBachelor's Degree in Business Studies / Administration / Management, Commerce, Finance / Accountancy / BankingRequired License: Associated PersonMust have at least 5 years of experience in brokerage operations and investment products.Advance understanding of compliance/regulatory requirements, risk management & controls, and brokerage processes.Basic understanding of compliance/regulatory requirements, controls, and bank processes.Able to prepare assessment reports, presentations, and findings.With strong communication and coordination skills, assertive, detail and results-orientedManages good working relationship with different business units and maintains regular collaboration with Compliance, Audit, and Risk (CAR).#LI-JC1#LI-Hybrid
