Regional Investment Compliance Officer

Job Listing No: 9740000

Regional Investment Compliance Officer

Makati City, Metro Manila – To provide systematic support and guidance to in-business investment compliance programs through close liaison with in-business investment compliance officers; To partner with and interact closely with the business and functional groups (IPR, IA, Legal, Regional Wealth Management, etc.) at the Global, Regional and Coutry level to adequately support the Retail Banking proposition New Product Due Diligence: To assist in reviewing products tabled at the regional Product Approval Committees Policies and Procedures To coordinate implementation of all global and regional policies and procedures across the Region; To regularly review relevant regional policies and procedures to ensure adherence with all applicable corporate requirements and global regulatory developments Monitoring: To regularly monitor and review sales practices, regulatory changes, significant issues, suitability matters, surveillance trends and other important developments at the business levels and across the Regi… – Permanent – Full-time

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