Compliance Officer

Role Overview

Meta Capital Incorporated is seeking a diligent, analytical, and proactive Compliance Officer with a legal educational background to support the company's corporate compliance, governance, legal documentation, and internal control activities. The role focuses on MCI as a holding and investment company, including SEC statutory filings, Board and corporate committee governance, contract review, internal policies, regulatory coordination, and applicable AML/KYC requirements.

The Compliance Officer will work closely with senior management, the Corporate Secretary, Finance, other business units, and external legal counsel to identify and mitigate legal, regulatory, and operational risks. Matters requiring formal legal opinions or representation by a Philippine-qualified lawyer will be referred to external counsel or an appropriately licensed lawyer.

Key Responsibilities

1. Regulatory Compliance & SEC Reporting

• SEC and Statutory Compliance: Monitor MCI's compliance with the Revised Corporation Code, relevant Securities and Exchange Commission (SEC) regulations, and other laws applicable to its activities.

• Regulatory Filings: Coordinate the preparation, review, and timely filing of statutory and regulatory submissions, including the General Information Sheet (GIS), Audited Financial Statements (AFS), beneficial ownership disclosures, and other applicable SEC filings.

• Compliance Calendar: Maintain a regulatory compliance calendar covering statutory deadlines, registrations, permits, and required renewals; coordinate filing responsibilities with Finance and the Corporate Secretary.

• Regulatory Response: Coordinate responses to SEC inquiries, notices, inspections, and requests for information, with escalation to management and external counsel when appropriate.

2. Corporate Governance, Board & Committee Administration

• Board and Committees: Support the administration of Board of Directors and corporate committee meetings, including agendas, meeting materials, minutes, resolutions, and related records, in coordination with the Corporate Secretary.

• Governance Framework: Review and maintain corporate governance policies, committee charters, delegation-of-authority arrangements, and approval procedures.

• Resolutions and Follow-up: Maintain a tracker for Board and committee resolutions, delegated actions, outstanding decisions, and implementation deadlines.

• Corporate Records: Assist with corporate secretarial documentation, statutory books, ownership records, and corporate changes to help ensure complete and accurate records.

3. Contracts, Legal Documents & Corporate Transactions

• Contract Review: Perform preliminary legal and compliance review of commercial and service agreements, non-disclosure agreements (NDAs), memoranda of understanding (MOUs), engagement letters, and other corporate contracts.

• Risk and Approval Review: Identify material clauses, obligations, legal and compliance risks, and required corporate approvals; recommend revisions and escalate issues requiring specialist legal advice.

• Investment Documentation: Assist in reviewing investment-related agreements, corporate transaction documents, and supporting approvals, in coordination with management and external counsel.

• Contract Register: Maintain a centralized register of executed agreements, key obligations, renewals, expiry dates, and document custodians.

4. Internal Policies, Controls & Risk Monitoring

• Policy Management: Develop, update, and implement internal compliance policies, codes of conduct, and governance procedures consistent with applicable laws and MCI's operating model.

• Approval Controls: Review internal approval workflows, signing authorities, and delegated limits together with relevant department heads.

• Compliance Reviews: Perform periodic compliance checks, identify gaps or potential breaches, recommend corrective measures, and monitor their resolution.

• Management Advisory: Provide practical compliance guidance to management and relevant teams on corporate activities, new initiatives, and internal control requirements.

5. AML/KYC, Due Diligence & Data Privacy

• Applicable AML Requirements: Assess AMLA requirements applicable to MCI's actual activities and ensure appropriate controls are implemented where legally required; do not assume MCI has the same reporting obligations as a licensed bank or securities broker.

• KYC and Due Diligence: Coordinate risk-based KYC, customer/counterparty due diligence (CDD), enhanced due diligence (EDD), and ultimate beneficial ownership (UBO) documentation as required by law, banks, transactions, and internal policy.

• Privacy: Support compliance with the Data Privacy Act of 2012 (RA 10173) when handling personal and corporate information.

6. Regulatory Coordination, Training & Reporting

• Legal Counsel Coordination: Liaise with external legal counsel on SEC matters, regulatory notices, contracts, governance questions, disputes, and other matters requiring legal review.

• Reporting and Escalation: Provide management with periodic updates on filings, committee actions, contracts, material compliance risks, and overdue corrective actions.

• Training: Conduct or coordinate relevant corporate compliance, governance, ethical conduct, and AML/KYC training for employees as appropriate.

Qualifications

• Education (Required): A degree in Law or Legal Studies from a recognized educational institution, such as a Bachelor of Laws (LL.B.) or Juris Doctor (JD), is mandatory. Admission to the Philippine Bar is an advantage but not required.

• Experience: At least 3–5 years of relevant experience in corporate compliance, corporate legal affairs, corporate governance, or regulatory affairs in the Philippines; experience in a holding company, investment company, corporate group, or corporate law firm is preferred.

• Practical Background: Demonstrated experience with SEC statutory filings, Board or committee documentation, corporate records, and contract review.

• Legal Knowledge: Strong understanding of the Revised Corporation Code, relevant SEC regulations, corporate governance, contractual risk review, beneficial ownership rules, and applicable privacy and AML/KYC requirements.

• Professional Certifications: Relevant AMLC or ACAMS training/certification is an advantage where applicable to the role.

• Key Competencies: Strong legal research and document drafting, analytical judgment, risk identification, attention to detail, deadline management, discretion, and effective written and verbal communication in English and Filipino.

Key Performance Expectations

• Accurate, timely SEC filings and statutory submissions.

• Complete and well-organized Board and committee meeting documentation, with follow-through on resolutions.

• Timely contract review, escalation, and management of contract obligations.

• Current corporate records, policies, compliance calendar, and action trackers.

• Prompt coordination and closure of regulatory inquiries and material compliance findings.