Compliance Manager
Infinity 88 Business Consultancy
Regulatory Compliance: Ensure compliance with applicable BSP regulations, AMLA and its implementing rules, Data Privacy Act, and other relevant laws governing pawnshop operations.
AML/CFT Compliance: Oversee the implementation of Anti-Money Laundering and Counter-Terrorism Financing (AML/CFT) policies, including customer due diligence, customer identification and verification, transaction monitoring, and suspicious transaction reporting.
Policies and Procedures: Develop, review, and update compliance policies, procedures, and internal controls to ensure alignment with current regulatory requirements.
Compliance Monitoring: Conduct regular compliance reviews and inspections of branches to identify regulatory gaps, operational irregularities, and potential violations.
Risk Management: Identify, assess, and mitigate compliance risks, including risks related to pawn transactions, redemption, loan renewals, forfeiture, auctions, customer records, and cash handling.
Regulatory Reporting: Ensure timely and accurate submission of required reports, disclosures, and other documentation to the appropriate regulatory authorities.
Audit and Examination: Coordinate with internal and external auditors and regulatory examiners, prepare supporting documents, and monitor the resolution of audit findings.
Incident Investigation: Investigate suspected violations, fraud, non-compliance, and irregular transactions, and recommend appropriate corrective and preventive measures.
Employee Training: Develop and conduct compliance awareness programs for branch managers, pawnshop personnel, and head-office employees.
Data Privacy and Recordkeeping: Ensure the proper handling, protection, retention, and confidentiality of customer information and transaction records.
Compliance Advisory: Provide guidance to management and branch personnel regarding regulatory changes, compliance issues, and recommended actions.
Corrective Action Monitoring: Track compliance deficiencies and ensure that responsible departments and branches implement corrective actions within established timelines.
Regulatory Updates: Monitor changes in applicable laws and regulations and assess their impact on company operations.
Management Reporting: Prepare regular compliance reports highlighting key risks, findings, regulatory developments, and recommended improvements.
Qualifications Bachelor’s degree in Accountancy, Finance, Business Administration, Legal Management, or a related field.
At least 3–5 years of relevant experience in compliance, risk management, internal audit, or financial services; experience in pawnshops, lending companies, banks, or other BSP-supervised institutions is an advantage.
Knowledge of BSP regulations, AMLA requirements, AML/CFT compliance, data privacy, and relevant financial services regulations.
Experience in compliance monitoring, risk assessment, regulatory reporting, and audit coordination.
Strong analytical, investigative, organizational, and problem-solving skills.
Excellent written and verbal communication skills.
High level of integrity, confidentiality, and attention to detail.
Ability to conduct branch visits and coordinate with multiple departments and locations.
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