Compliance Officer (Junior)
Inception Technology Philippines Inc
Location: Makati City
Role Overview
We are looking for a Compliance Officer to support the company's regulatory, operational, and business compliance requirements. This role will help ensure that the organization complies with applicable laws, regulations, internal policies, partner requirements, and industry standards. The ideal candidate has solid experience in compliance monitoring, regulatory reporting, risk assessment, policy development, internal controls, and stakeholder coordination. This person should be able to work independently, manage compliance requirements end-to-end, and provide practical guidance to business teams while maintaining strong governance standards.
Key Responsibilities
Compliance Management and Monitoring
- Monitor the company's compliance with applicable laws, regulations, licenses, permits, contractual obligations, and internal policies.
- Conduct regular compliance reviews, gap assessments, and risk-based monitoring activities.
- Track regulatory requirements and ensure timely implementation of required changes.
- Maintain compliance calendars, trackers, reports, and documentation repositories.
- Support the development, review, and enhancement of compliance policies, procedures, manuals, and internal guidelines.
Regulatory and Partner Coordination
- Coordinate with regulators, government agencies, banking partners, payment partners, vendors, and internal stakeholders on compliance-related matters.
- Assist in preparing and submitting regulatory reports, documentary requirements, certifications, and responses to official inquiries.
- Support onboarding, due diligence, accreditation, and renewal processes with external partners.
- Ensure that required documents are complete, accurate, updated, and submitted within agreed timelines.
Risk Assessment and Internal Controls
- Identify compliance risks across business operations and recommend practical mitigation measures.
- Support internal control testing, process reviews, and corrective action monitoring.
- Assist in developing controls related to anti-money laundering, data privacy, consumer protection, corporate governance, third-party risk, and operational compliance, as applicable.
- Monitor open compliance issues and coordinate closure with responsible teams.
Policy, Training, and Advisory
- Provide compliance guidance to business, operations, product, finance, legal, HR, and technology teams.
- Assist in creating and delivering compliance training, awareness materials, and internal advisories.
- Translate regulatory or policy requirements into clear, actionable business processes.
- Help promote a culture of compliance, accountability, and ethical conduct across the organization.
Audit and Documentation Support
- Support internal audits, external audits, partner audits, regulatory examinations, and compliance reviews.
- Prepare audit evidence, management responses, remediation updates, and supporting documents.
- Maintain organized records of compliance activities, approvals, reports, and correspondence.
- Ensure that compliance documentation is accurate, traceable, and audit-ready.
Qualifications
- Bachelor's degree in law, Business Administration, Management, Political Science, Legal Management, or a related field.
- At least 4 years of relevant experience in compliance, regulatory affairs, risk management, audit, banking, fintech, payments, corporate governance, legal operations, or a similar function.
- Strong understanding of compliance frameworks, regulatory monitoring, internal controls, documentation, and risk assessment.
- Experience coordinating with regulators, financial institutions, external partners, auditors, or government agencies.
- Excellent written and verbal communication skills.
- Strong attention to detail, organization, follow-through, and documentation discipline.
- Ability to work independently and manage multiple priorities in a fast-paced environment.
- Practical judgment and ability to balance business needs with compliance requirements.
Preferred Qualifications
- Experience in fintech, banking, payments, remittance, e-wallets, lending, technology, or regulated industries.
- Knowledge of any of the following is a strong advantage:
○ AML/CFT requirements
○ Know Your Customer / Know Your Business processes
○ Data Privacy Act and privacy compliance
○ Consumer protection regulations
○ BSP, SEC, NPC, AMLC, or other regulatory requirements
○ Vendor and third-party due diligence
○ Contract and partner onboarding requirements
- Experience preparing regulatory reports, compliance trackers, board or management updates, and audit responses.
- Certification is an advantage but not required, such as CAMS, CCO, CISA, CIA, ISO, Data Privacy, Risk Management, or Compliance-related certifications.
Only shortlisted candidates will be contacted
