Compliance Officer

Main Accountabilities

• Assist in the implementation and monitoring of the Compliance System and applicable
  
  

regulatory frameworks, including Anti-Money Laundering and Counter-Terrorist Financing

(AML/CFT), Corporate Governance, Data Privacy, FATCA, and other regulatory

requirements, to support BPI Capital's compliance with applicable laws, rules, regulations,

and internal policies.

• Assist in the maintenance and periodic updating of the Regulatory Matrix, including the
  
  

incorporation of new laws, rules, regulations, regulatory issuances, and internal control

procedures to facilitate compliance monitoring and awareness.

• Prepare compliance reports, presentations, and supporting documents for Management,
  
  

Board Committees, and regulatory submissions, as may be required by the Compliance

Officer.

• Perform compliance monitoring and testing activities, including regulatory compliance
  
  

self-assessments, compliance reviews, validation of corrective actions, and maintenance

of compliance monitoring tools and trackers.

• Assist in the review and evaluation of internal policies, procedures, and guidelines to
  
  

ensure consistency with applicable laws, regulations, and regulatory expectations, and

recommend necessary updates or enhancements.

• Support the monitoring of compliance with the Corporate Governance Manual and other
  
  

governance-related policies and requirements in coordination with relevant business and

support units.

• Assist in implementing compliance awareness initiatives by helping disseminate
  
  

regulatory updates, preparing compliance advisories, and coordinating compliance

training and communication activities.

• Disseminate new laws, rules, regulations, and regulatory issuances from regulatory
  
  

agencies, BPI Compliance Office, and other relevant bodies, and maintain records of

dissemination and implementation.

• Coordinate with regulators and internal stakeholders on compliance matters and
  
  

requests, under the guidance and supervision of the Compliance Officer.

• Assist in the coordination and management of regulatory examinations, audits, and
  
  

reviews, including gathering documentary requirements, tracking examination findings,

monitoring action plans, and coordinating responses from concerned units.

• Monitor developments, emerging risks, regulatory changes, and industry best practices in
  
  

compliance, corporate governance, anti-money laundering, data privacy, and related

fields, and provide updates to the Compliance Officer.

• Support the implementation and administration of BPI Capital's Money Laundering and
  
  

Terrorist Financing Prevention Program (MTPP), including customer due diligence,

sanctions screening, employee training, compliance monitoring, and regulatory reporting

activities.

• Assist in ensuring compliance with Data Privacy laws and regulations, including monitoring
  
  

privacy-related requirements, maintaining privacy compliance documentation,

supporting privacy impact assessments, coordinating data privacy awareness activities,

and assisting in the management of privacy-related incidents and regulatory

requirements.

• Assist in monitoring compliance with FATCA and other applicable regulatory
  
  

requirements, including the preparation, validation, and submission of regulatory reports,

certifications, and documentary requirements.

Confidential

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Unauthorized use, disclosure, or reproduction is strictly prohibited.

• Support the maintenance of constructive working relationships with regulatory agencies,
  
  

including the BSP, SEC, PDEx, AMLC, NPC, and other relevant regulatory bodies, as

appropriate.

• Ensure the completeness, accuracy, and timely submission of regulatory reports,
  
  

documentary requirements, certifications, and compliance-related submissions to

regulators, Head Office, and other stakeholders.

• Maintain compliance records, databases, monitoring trackers, examination reports,
  
  

action-item logs, and regulatory inventories to support effective compliance oversight and

reporting.

• Perform such other compliance, anti-money laundering, corporate governance, data
  
  

privacy, regulatory, and administrative duties as may be assigned by the Compliance

Officer.

Qualifications

Education (minimum / preferred undergraduate / graduate / post graduate course)

Preferably with a degree on any business-related course

Experience (minimum / Preferred Work Experience)

Preferably with 1-3 years of experience in Compliance, Risk Management, Audit, or related

functions.

Knowledge (minimum training / certification course requirements)

Working knowledge of BSP, SEC, AMLA, Data Privacy Act, FATCA, Corporate Governance

Regulations, And Other Applicable Regulatory Requirements Is An Advantage.

Skills (minimum / preferred proficiency skills required)

• Good communication and interpersonal skills
• Proficient in Microsoft Office application

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