Line Compliance Lead - Banking and Finance l EXL MOA Pasay - Manila
EXL Service Philippines Manila Full-time
Basic Function
A BCM Compliance Officer ensures that the BCM clients adheres to all regulatory requirements
regarding financial transactions, procedures, processes and operations are compliant, relevant laws,internal policies, and industry best practice
Essential Functions- Provide support and guidance to operations during internal/external audits
- Act as independent reviewer and evaluation body to ensure that compliance issues/concerns within client area are being appropriately evaluated, investigated and resolved.
- Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues and provide general guideline on how to avoid or deal with similar situations
- Provide reports on a regular basis, and as directed or requested, to keep senior management informed of the operations and progress of compliance efforts
- Educating and training employees on compliance guidelines
- 3-5 years of experience as a Compliance Officer mainly in Banking industry (Compliance and financial services regulation)
- Experience in Transfer Agency (Risk, Compliance, Operations), minimum of one of these is mandatory.
- Bachelor’s degree in finance, law, business administration, or a related field (a master’s degree is a plus).
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