Compliance Manager

KEY RESPONSIBILITIES

• Develop, implement, and maintain the company's compliance policies, procedures, and control framework.
• Monitor branch and head-office operations for compliance with company policies and applicable regulations.
• Conduct regular compliance reviews, branch inspections, and process assessments.
• Identify, assess, document, and monitor compliance risks.
• Review operational transactions and documentation to identify irregularities, violations, or control weaknesses.
• Ensure proper implementation of policies related to customer transactions, documentation, records, and internal controls.
• Coordinate with management and concerned departments on compliance findings and corrective actions.
• Prepare compliance reports, audit findings, recommendations, and action plans.
• Monitor the timely resolution of compliance deficiencies.
• Assist in regulatory reporting and coordination with relevant government and regulatory agencies, as applicable.
• Maintain organized and updated compliance records and documentation.
• Conduct compliance training and awareness programs for employees and branch personnel.
• Review new products, services, systems, and procedures for potential compliance risks.
• Assist in investigations involving suspected policy violations, irregular transactions, fraud indicators, or other compliance concerns.
• Establish monitoring tools and key compliance indicators to measure adherence across branches.
• Recommend improvements to internal controls, policies, and operating procedures.
• Keep management informed of significant regulatory developments and potential business impact.
• Promote a strong culture of integrity, accountability, transparency, and regulatory compliance.

QUALIFICATIONS

• Bachelor's degree in Business Administration, Accounting, Finance, Legal Management, Management, or a related field.
• At least 3–5 years of experience in compliance, audit, risk management, internal control, banking, pawnshop, financial services, or a related industry.
• Experience in branch operations or multi-branch organizations is an advantage.
• Strong understanding of compliance monitoring, internal controls, risk assessment, and audit processes.
• Knowledge of applicable Philippine regulatory requirements is an advantage.
• Strong analytical, investigative, and problem-solving skills.
• Excellent documentation and report-writing skills.
• Proficient in Microsoft Office and business reporting tools.
• Strong communication and interpersonal skills.
• High level of integrity, confidentiality, and professional judgment.
• Willing to conduct branch visits and compliance inspections.

KEY COMPETENCIES

Regulatory Compliance – Understanding and application of laws, regulations, and company policies.

Risk Management – Ability to identify, assess, prioritize, and mitigate compliance risks.

Audit & Monitoring – Ability to review transactions, processes, records, and branch operations.

Internal Controls – Ability to identify control gaps and recommend effective corrective measures.

Investigation – Ability to analyze irregularities and conduct objective fact-finding.

Reporting & Documentation – Ability to prepare accurate and actionable compliance reports.

Leadership – Ability to influence employees and managers toward consistent compliance.

Integrity & Confidentiality – Demonstrates strong ethical standards and sound professional judgment.

KEY PERFORMANCE INDICATORS (KPIs)

• Compliance rate across branches and departments
• Number and severity of compliance findings
• Timely closure of compliance deficiencies
• Completion rate of scheduled compliance reviews
• Reduction of recurring compliance violations
• Timeliness and accuracy of regulatory reports
• Employee completion of compliance training
• Effectiveness of corrective and preventive actions
• Improvement in internal control effectiveness
• Compliance incidents and risk exposure

WHAT WE OFFER

• Competitive salary package
• Career growth opportunities
• Professional development and training
• Leadership exposure across multiple business functions
• Opportunity to contribute to the development of a strong compliance and risk culture