CB Securities - Compliance & Risk Associate

The Compliance & Risk Associate shall primarily assist the AP in compliance and risk management tasks and interaction with various regulatory bodies. He/She shall act as an alternate AML Compliance Officer registered with the Anti-Money Laundering Council. He/She shall also assist the AP in implementing the risk management systems of CB Securities, including the set-up and implementation of compliance and risk policies, processes, tools and systems to identify, assess, measure, manage, monitor, and report risks.

Educational Background:

College Graduate, preferably with a degree in the fields of Accounting, Business, Economics, Finance, Banking and/or Law

Professional Experience:

• At least 1 to 3 years experience in a similar or related capacity with a stock broker or bank or BSP-supervised financial institution;
• Preferably with Internal Audit or Risk Management exposure
• Preferably with AP license, but not required

Knowledge and Skills Required:

• Effective verbal and written communication skills
• Organization, problem-solving and critical thinking
• Integrity and dependability
• Proficiency in MS Office, particularly in Excel
• Registration as Associated Person with SEC, preferred but not required