Group Compliance Officer, Senior Manager at Unicapital, Inc. (2024-08 – Present)
- Holds the paramount responsibility for the direct oversight of compliance matters across the Group and is tasked with ensuring adherence to applicable laws, regulations, codes, and standards. It encompasses securities brokerage, investment institution, and financing entity.
- This role encompasses the development, implementation, and oversight of compliance program, conduct of risk assessments, and the provision of pertinent training to employees in order to foster a culture of integrity and ethical conduct.
- Serve as a liaison between the SEC, Exchange and self-regulatory organizations, coordinating responses to inquiries and requests from regulatory bodies, and assisting in the preparation of requirements for Auditors or Examiners during regular or special audits or examinations.
- Report violations of compliance, performance, and other activities of the Compliance Department, as well as related issues including but not limited to the approval of manuals, resolutions on SEC/CMIC/PSE/PDEx/AMLC findings or directives, and the issuance of new applicable regulations, to the Compliance and Risk Management Committee of the Board of Directors and Senior Management.
AML Head at Cebuana Lhuillier Bank (2022-07 – 2024-07)
- Oversee, review and update the AML Program/Plan of the Bank.
- Supervise the activities of the AML Specialists and the AML Officers to ensure the day-to-day activities of the AML Department are properly managed and monitored.
- Review the CTRs and STRs being submitted by the AML Specialists and AML Officers.
- Review disposition of transaction monitoring reports and elevate any suspicious to MLEC.
- Review and update, as deemed necessary, the Bank's MTPP.
- Conduct AML/CFT/PF Training/Webinar pursuant to Training Program under MTPP.
- Prepare the requirements and answer the queries of the BSP Examiners related to AMLA in the conduct of their regular or special examination.
- Review and finalize the report needed for the periodic Board Audit Committee meeting.
- Conduct periodically the Bank's Institutional Risk Assessment (IRA).
Compliance Assurance Officer at Eastwest Banking Corporation (2021-10 – 2022-03)
- Responsible for assisting the Head-Compliance Assurance (H-CA) in the execution of regulatory compliance tests of varying complexities, the reporting of its results and the monitoring of the resolution of non-compliance issues.
- Assists the H-CA during BSP Examination consolidating and reviewing the Bank's responses to issues raised by the BSP Examiners.
Deputy Compliance Officer at Equicom Savings Bank (2017-02 – 2021-09)
- Provides administrative support to the CCO in implementing the bank's compliance program and monitoring the compliance performance of all units of the Bank.
- Assists the CCO in investigating irregularities or breaches of laws, rules, code of conduct and standards, including identified business risks.
Asset and Remedial Specialist at Equicom Savings Bank (2013-01 – 2017-02)
- Manage collection and recovery of secured and unsecured past due accounts referred by lending units, Asset Management Department and Legal Department in relation to cases with mediation or JDR proceedings.
- Responsible for monitoring of status of the Real and Other Properties Acquired (ROPA) and Sales Contract Receivables (SCR) accounts.
Branch Teller IV at China Banking Corporation (2012-02 – 2012-06)
- Responsible for providing timely and accurate processing of over-the-counter transactions such as deposit and withdrawals as well as miscellaneous payments.
Administrator for Acquired Assets/Loans Supervisor at Tiaong Rural Bank, Inc. (2008-06 – 2012-02)
- Responsible for the monitoring of Real and Other Properties and Acquired (ROPA) & Sales Contract Receivables (SCR).
