ATR Asset Management (ATRAM)
ATR Asset Management (ATRAM)

Compliance Officer  

ATR Asset Management (ATRAM)

  • Makati, Philippines
    8 Rockwell Bldg., Hidalgo Drive, Rockwell Center, Makati, Metro Manila, Philippines
    Metro Manila
  • Full timeFULL_TIME

Posted 9 days ago and deadline of application is on 6 Aug

Recruiter was hiring 2 days ago


Job Description

Role Summary

Responsible for assessing compliance risks and controls implemented by the different business units; Also responsible for performing risk assessments of ATRAM’s compliance risks; performing independent assurance activities (testing and ongoing monitoring) to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.

Main Duties and Responsibilities:

  • Develop, implement and execute compliance testing, continuous assurance, and reporting programs in accordance with the Compliance Program
    • Perform periodic compliance testing on various processes covering all business units, and report results of compliance testing on a monthly basis.
    • Monitor resolutions on exceptions noted from the compliance testing performed by closely coordinating with concerned business units.
  • Execute compliance controls testing, transactional testing, or compliance controls monitoring activities based on pre-defined testing plan.
  • Assist with development and updating of compliance program to ensure that all applicable regulations and controls are incorporated
    • Obtain and understand regulatory issuances from various regulatory bodies, validate its applicability to different business units, and ensure timely dissemination to the concerned.
    • Coordinate with concerned business in the performance of gap analysis on all applicable regulatory issuances to ensure ATRAM’s compliance to regulatory requirements within the prescribed period noted in the regulation.
    • As needed, update compliance program to ensure appropriate compliance testing is in place.
  • Participate in the planning, executing, and reporting of compliance assurance reviews and compliance and regulatory issue validation activities
  • Coordinate with business units in the preparation of accurate and timely submission of all regulatory reports, including covered and suspicious transaction reporting.
  • Be the point person for AML and FATCA matters by performing the following: comply with requirements issued by applicable regulatory bodies; engage various business units on required AML and FATCA reports; closely coordinate with IT on the AML and FATCA system requirements; devise processes to ensure suspicious transactions are captured and monitored; monitor compliance to AML and FATCA regulations by counterparties, third party providers and the like; and respond to requests and inquiries from counterparties pertaining to KYC information and documentation, including performance of AML and FATCA due diligence exercises; Maintain compliance awareness by conducting periodic training on AML, KYC, CDD, FATCA and related regulatory and company policies and procedures.
  • At least on an annual basis, review all applicable manuals such as but not limited to AML.
  • Manual, Compliance Manual, Employee Personal Investment Policy Manual, and incorporate. updates in regulatory requirements and changes in processes as needed.

Minimum Qualifications

  • Bachelor’s Degree; with experience in compliance, legal or other control-related function in the financial services industry, regulatory organization, or legal/consulting firm, or a combination thereof
  • Knowledge of compliance laws, rules, regulations, risks and typologies
  • Thorough knowledge of asset management products, economics and financial markets, and relevant rules and regulations
  • Experience with risk and control principles including risk assessments, development of risks and controls matrices, processes and controls design assessments, controls operating effectiveness testing, transactional testing, and reporting activities
  • Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
  • Strong knowledge of business processes
  • Strong analytical, interpersonal skills for building strong relationships with stakeholders and engaging teams
  • Excellent documentation skills
  • Adequate training skills
  • Sound interpersonal relationship and communication skills
  • Knowledge of computer applications such as MS Word, Excel, Powerpoint, etc.
  • Self-starter, flexible, innovative and adaptive
  • High level of integrity
  • Knowledge of accounting and financial concepts, experience with bank accounting and financial statement analysis (highly preferred)

Jobs Summary

Job Level
Associate / Supervisor
Job Category
Accounting and Finance
Educational Requirement
Bachelor's degree graduate
Recruiter response to application
Office Address
8 Rockwell Bldg., Hidalgo Drive, Rockwell Center, Makati, Metro Manila, Philippines
Asset Management
1 opening

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About ATR Asset Management (ATRAM)

The ATR Asset Management Group (ATRAM or ATRAM Group) operates through ATR Asset Management, Inc. (ATRAM MF) and the ATRAM Trust Corporation (Formerly Maybank ATR Kim Eng Capital Partners, Inc. - Trust). In 2009, the ATRAM Group decided to expand its presence in the fast-growing domestic asset management industry by forming a dedicated business group called ATR Asset Management Group (ATRAM or ATRAM Group). This group, comprised of ATRAM MF and ATRAM - Trust, manages portfolios consisting of mutual funds, trust assets, insurance portfolios, and real estate for proprietary and third party clients. Why join us? ATR Asset Management (ATRAM) is the leading independent asset manager in the Philippines with over USD2.57 billion in assets under management, providing investment management solutions to retail and institutional clients. ATRAM has received a number of awards over the years including The Asset Benchmark Research - Top Investment House (1st Place) for 2019, The Asset Benchmark Research - Top Investment House (2nd Place) for 2018, The Asset Rising Star Award for 2017, Asian Investor Fund House of the Year (Philippines) for 2014 and 2015. ATRAM pioneered global feeder funds in the local market which provide Philippine clients with easy and cost-effective means of investing globally. ATRAM offers a professional, fair and progressive work environment. In addition, ATRAM strongly supports career development and work-life balance for its employees.

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