Compliance/ Liason Associate

A Compliance/ Liaison Associate supports communication and coordination between various departments within an organization or between the organization and external partners, stakeholders, or clients. this rile involves assisting in the management of relationships, ensuring that information flows smoothly, and helping to align activities and objectives across different issues, streamline processes, and support the achievement of organizational goals.

RESPONSIBILITIES:

1. Regulatory Compliance-

• Stay informed about relevant laws, regulations, and industry standards that apply to the company's operations.
• Monitor changes in regulations and assess their impact on the company's compliance requirements.
• Assist in the development and implementation of compliance policies and procedures to ensure adherence to regulatory requirements.
• conduct periodic reviews and assessments to evaluate compliance with applicable regulations.
• Identify and report any potential compliance issues or violations to the Compliance Officer or designated supervisor.
• Implement and manage an effective legal compliance program.
• Develop and review company policies.
• Resolve employee concerns about legal compliance.

2. External Coordination

• Serve as the point of contact between the organization and external entities (e.g. LGUs, Government agencies, Vendors, or partner institutions).
• Facilitate the processing and submission of document to external agencies.
• arrange meetings, appointments, and site visits as needed.

3. Documentation and Compliance

• Process and prepare online business registration such as PCAB, SEC Registration, FDA, PHILGEPS, BIR, Business Permits, etc.
• Assisting in the preparation, completion and maintaining proper documentation for permits, licenses, and certifications (e.g. SEC, DTA, BIR, LGU permits and other related transactions).
• Process onsite business registrations such as SEC, DTI, BIR, LGU permits and other related transactions.
• ensure compliance with regulatory requirements and deadlines.
• Follow up on pending transactions or approvals with concerned parties.
• Monitor and organize document of business registration of clients.
• process onsite business registration such as Mayor's permit, BIR Registration if necessary.

• Maintain accurate and organized records of compliance activities, including documentation of policies, procedures , and training materials.
• Prepare and submit reports on compliance activities, findings, and remediation efforts as required by regulatory authorities or company management.
• Ensure timely and accurate reporting of compliance metrics and Key Performance Indicators (KPIs) to track and measure compliance effectiveness.

4. Client Registration and Onboarding Compliance

• ensure all client registration forms and documents are accurate and comply with the firm's internal policies and legal requirements.
• Verify and validate the identity of new clients as part of the Know Your Customer (KYC) process.
• Ensure the correct completion and submission of client registration forms for tax, accounting, and legal purposes.

5. Ad hoc tasks from immediate superior.

QUALIFICATIONS:

> College graduate, and can drive motorbike

> with valid driver's license

> knowledgeable in administrative work and compliance

> with good oral and written communication skills.