COMPLIANCE ANALYST - open for fresh graduates (es)

about our client

Discover amazing career opportunities with a company that is all about helping people achieve their dreams and aspirations!

Our client is a leading insurance and wealth and asset management group with global headquarters in Canada, operating regionally in Asia and the United States that 35,000 employees across the globe.It’s global shared service centre in Quezon City and Lapu – Lapu City provides administrative, finance, investments, analytics, professional services, support, contact centre and information technology services to companies around the world and puts the customers at the forefront.

The company aims to attract, develop and retain a diverse workforce and to foster an inclusive work environment that embraces the strength of cultures and individuals.

The candidate:

•   Must have Bachelor's Degree (in Banking and Finance)

•   The candidate should be self-confident, energetic, have an inquisitive mind, and be controls conscious

•   Strong organizational skills, an ability to manage assignments with competing priorities, excellent written and verbal communication (English) skills, and the ability to work both independently and as a member of a team are critical

•   Excellent project management, organizational and analytical skills

•   Strong systems application and software skills, including Microsoft Access and Excel.

On the job, you will:

Information Barrier:

•   Assist in the identification, review, research and resolution of potential cases of policy violations and issues related to the Information Barrier

•   Conduct Code of Ethics training with new hires and existing staff that includes a comprehensive review of the Information Barrier program. 

•   Conduct periodic, transactional and forensic testing in support of the Investment Division Code of Ethics and Information Barrier Program

Personal Trading:

•   Perform process to designate new employees as Access Persons (APs) and provide training.

•   Monitor employee trading activities and test trades for compliance with trading policies.

•   Perform maintenance on employee brokerage accounts reported in Star Compliance.

•   Review daily trade exception reports of employee violation of the policies.

•   Prepare quarterly personal trading reconciliations for selected employees.

Other Compliance Responsibilities:

•    Assist in the preparation of materials for quarterly compliance committee meetings including standard and ad hoc reports on relevant compliance and other related matters