Compliance Assistant Manager And Associated Person  

1. Responsible for reviewing the operations of Unicapital Group concerning compliance with the rules and regulations of the regulators, the internal policies and procedures, and the securities laws.

2. Monitoring and formulation of policies and procedures to ensure adherence and compliance by the Unicapital Group to the Philippine Stock Exchange, Security and Exchange Commission, Anti-Money Laundering Act rules, and Bangko Sentral ng Pilipinas regulations.

3. Detect the non-compliance issues so that corrective action can be taken.

4. Actively monitoring the business and operations of Unicapital Group.

5. Periodic review of the sensitive areas as follows:

• Employee & Directors transactions
• Account onboarding
• Stock Position Reconciliation
• Complaint record
• Risk-Based Capital Adequacy Ratio Report
• Books and Records include but are not limited to Bank Reconciliation Reports, Trial Balance, subsidiary ledgers, and other supporting documents.

6. To act as an intermediary between the Exchange/ regulators; To coordinate and respond to the regulatory body query and request for information ;

7. To assist with Audit, Inspection, and Investigation by authority body.

8. Prepare compliance report to the Group Compliance Officer

9. Internal Processes - monitor and ensure that all systems and procedures are in place and maintained

• To review the operational manuals
• To investigate non-compliance issues
• To monitor the business and operations
• Reviewing Operational Manuals/ Policies
• Submission of various regulatory reports.
• Establishing and drafting Compliance Policies

10. Prevent monetary losses due to non-compliance and weaknesses in the internal policies and procedures.

11. Promote compliance culture making Unicapital Group attractive to investors/ clients.

12. Provide compliance advice and guidance to internal customers.

13. Assist/ support regulators on compliance, inspection, and audit.

14. Monitor the handling of client’s complaints.

15. Provides regulatory training for all employees and designs training programs applicable to the needs of each department

16. Safeguarding the reputation of the group.

Any other task that may be assigned from time to time that will support the goals of the organization.

• Bachelor's Degree in finance, Accounting, Economics, or any business course
• Minimum three years experience in Risk, Compliance, or Audit
• Understanding of Corporate Governance Requirements and principles of risk management and compliance principle
• Excellent Organizational Skills
• Proficient Communication Skills
• Effective Problem-solving
• Assessment & Interpretation
• Critical Thinking Ability
• Creativity
• Integrity
• Strong People Skills
• Up-to-date Knowledge of Stock Brokerage Company
• Sound Understanding of Regulatory Guidelines and Security Policies