Compliance Assistant

Compliance Assistant


  • Graduate of law or related courses
  • With background/experience working in financial industry is a plus
  • Strong organization skills and good attention to detail
  • Can work independently and with minimum supervision

Job Responsibilities:

  • Checking/verification of new and updated CAIF of clients.
  • PSE EDGE reporting/submission of Personnel Movement whether Redesignation/Resignation/Newly Hired and email of the same to CMIC.
  • Submission of Trade Amendment Report at iPSE website.
  • Submission of Unbundled Report at iPSE website.
  • Preparation of Payment Voucher/Request for Payment upon request.
  • Submission of Done Through transaction at PSE EDGE and email to CMIC.
  • Checking of Final RBCA Report twice monthly before submission to iPSE website.
  • Assisting in business communication/email when needed.
  • Updating of manual for the AMLA, Written Supervisory Procedures (WSP) and the Data Privacy Act.
  • Daily monitoring and reporting of Affiliated Transaction through PSE EDGE submission.
  • Daily generation of RBCA Report and monitoring of additional requirements for the Special Reserve.
  • Weekly reporting of AMLA.
  • Submission of PSE Weekly Sales Tax Report via iPSE website.
  • Weekly submission of PSE shares transaction and Affiliated Transaction Report to SEC/PSE EDGE/CMIC.
  • Submission of Monthly Complaint Report to SEC and email to CMIC.
  • Submission of Monthly PSE Broker Certification via email to PSE.
  • Monthly submission of Affidavit of PSE shares via PSE EDGE and email of the same to CMIC.
  • Month-end preparation of Inventory Summary Report
  • Submission of Quarterly Complaint Report via PSE EDGE.
  • Submission of Quarterly SCCP Report.
  • Semi-annual preparation and submission of Lists of Directors, Officers, and Employees.
  • Semi-annual preparation and submission of Ownership Structure.
  • Yearly submission of the following:

*Pledge of Commitment for all Salesmen/Traders/Dealers/Agents/AP

*Certification of Manual of Corporate Governance to SEC

*Secretary’s Certificate on Board Attendance

*Authorized Signatories Form

*Clearing Member Information Form

*Certification for Management of TP that the Risk Management Procedures have been consistently followed

*Schedule/Timetable of the Implementation of the Training Program

*Renewal of SEC Licenses for Broker Dealer/AP/Traders

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31F, Yuchengco Tower 1, RCBC Plaza, 6819 Ayala Ave, Makati City