Compliance Officer

Sunrise Search & Support, Inc.

Taguig, Philippines

1-3 Years

This job is no longer accepting applications

Posted 24 months ago

Job Description

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