Risk And Compliance Officer, Makati

Qualifications

Bachelor's degree in Finance, Economics, Accounting, Risk Management or related; Masters degree is an advantage

Professional Certification (Financial Risk Manager, Certified Risk Manager, Certified Compliance Professional or AML certifications) is a plus.

At least 3 years of experience in a brokerage firm, investment company, or financial institution

Experience in online trading operations is highly preferred

Exposure to margin trading, leverage products, or derivatives is an advantage

Experience working within an SEC-regulated environment

Strong understanding of trading systems and market risk metrics

Knowledge of compliance reporting and regulatory frameworks

Strong analytical and documentation skills

Ability to interpret regulatory circulars and implement policies effectively

High integrity and ethical standards

Strong independent judgment

Detail-oriented and highly organized

Ability to work under pressure and manage regulatory timelines

Strong communication and cross-functional coordination skills

Key responsibilities

Trading & Market Risk Oversight

Monitor trading exposure, margin levels, leverage, and concentration risks

Enforce risk limits and escalation procedures

Review unusual trading activity and turnover metrics for managed strategies

Regulatory Compliance & Governance

Ensure compliance with SRC, SEC regulations, AMLA, KYC, and Data Privacy laws

Monitor licensing of Associated Persons

Prepare regulatory reports and coordinate audits and inspections

Operational Risk & Internal Controls

Identify trading and system vulnerabilities

Strengthen cybersecurity and access controls with IT

Maintain internal risk policies and support business continuity planning

Risk Reporting & Advisory

Provide risk reports to Senior Management

Maintain risk registers and compliance logs

Recommend policy improvements and define risk appetite guidelines