The Risk and Compliance Associate support the effective implementation of the Company's Enterprise Risk Management and Compliance programs by proactively identifying, managing, and monitoring non‑financial risks and ensuring adherence to applicable laws, regulations, and international best practices.
The role serves as a key internal advocate for non‑financial risk management by assessing the effectiveness of Board‑ and Management‑approved policies, controls, and procedures, and identifying and addressing compliance gaps related to applicable regulatory requirements, including but not limited to the Omnibus Rules on Investment Houses, Anti‑Money Laundering Act, Securities Regulation Code, PDEX Trading Rules, Data Privacy Act, and related issuances.
KEY RESPONSIBILITIES:
- Maintain and enhance the internal control framework; identify control gaps and inefficiencies
- Conduct risk-based compliance testing and monitoring (e.g., AML/CFT, data privacy, governance)
- Assist in drafting and updating risk and compliance policies
- Perform walkthroughs, sampling, and testing to assess control effectiveness
- Prepare and maintain audit-ready documentation and reports
- Identify and escalate regulatory breaches, control issues, and policy violations
- Support investigations and recommend corrective actions
- Monitor regulatory updates and ensure alignment with internal frameworks
- Provide support in regulatory reporting and other risk and compliance activities
QUALIFICATIONS:
- A bachelor's degree in Business Administration (Financial Management), Legal Management, or other related fields.
- A minimum of three (3) years of relevant professional experience in the banking, investment banking, or other financial services industry.
- Demonstrated experience or exposure to any of the following areas: Compliance and regulatory affairs, Risk management, Internal control systems, Audit functions, and Process improvement initiatives.
- Must possess at least one relevant professional certification, including but not limited to: Lean Six Sigma (LSS), Certified Treasury Professional (CTP/TCP), Certified Internal Auditor (CIA), and Certified Risk Analyst (CRA).
