1. Ensure that the company conducts its business in compliance with all relevant rules, regulations, laws, best market practices and Group compliance standards;
2. Ensure that operating managers are provided with appropriate advice and guidance, regarding the regulatory environment, to enable them to establish the structure and framework required to be compliant in all business activities;
3. To conduct all monitoring work devised to accomplish the above;
4. Prepare the requisite compliance reports submitted to regulators, management and Global Compliance.
1. Provide guidance to location staff on all corporate policies and local regulations.
2. Keep abreast of latest developments or updates in the market with regard to local securities and trading regulations.
3. Act as primary liaison with the local regulators on behalf of J.P. Morgan Securities Philippines, Inc.
4. Assist in the development and implementation of monitoring procedures to ensure compliance with internal policies and with local regulatory, legal and industry requirements.
5. Assist management in ensuring that the Code of Conduct and other internal policies are adhered to.
6. Handle the preparation of internal reports and compliance with all regulatory reporting requirements.
7. Handle all individual and entity licensing requirements in the location.
8. Assist in coordinating all activities of the JPMSPI Board of Directors.
9. Coordinate with local counsel and the Office of the Secretary on all legal and corporate secretarial tasks.
10. Assist in the investigation of complaints, internal policy breaches and other concerns.
11. Handle preparation of documents and assist in answering queries during regulatory audits.
12. Be responsible for maintaining cordial and strong relationships with regulators and productive interaction with local staff.
• Must have experience in the stockbrokerage / securities industry
• Must be knowledgeable on securities-related laws, rules, regulations, practices
• Preferably with Accounting or Finance-related background
• Good oral and written communication skills
• Must be willing to learn; flexible and diligent in carrying out tasks
• SEC Certification as Associated Person is an advantage