Associated Person

Taguig, Metro Manila, Philippines · Capital Region, Iceland · United States
Posted on Wednesday, February 14, 2024
Join the Pioneer Crypto Brand in the Philippines!
Coins is the most established crypto brand in The Philippines and has gained the trust of more than 18 million users. Through the easy-to-use mobile app, users can buy and sell a variety of different cryptocurrencies and access a wide range of financial services.
Coins is fully regulated by the Bangko Sentral ng Pilipinas (BSP) and is the first ever crypto-based company in Asia to hold both Virtual Currency and Electronic Money Issuer licenses from a central bank.

What you'll do

  • Ensure that the company complies with laws, rules, regulations, and best practices through the development and implementation of an effective compliance system on Securities Brokering / Dealership activities, especially Treasury and Trust activities.
  • Identify and assess compliance risks manage/address actual or potential breaches and coordinate with government agencies (like BSP, SEC, PSE, and other regulators).As a subject matter expert on Treasury and Trust, the officer renders advice, disseminates new issuances, and mitigates business risks that may erode the company's franchise value in these areas.
  • Monitor and manage action plans to resolve issues committed in the RCSAs, Risk Assessments, Issue Escalation/Incident Reports, BCP test results, Internal/External Audit findings, Compliance testing findings, etc.
  • Act as liaison personnel for internal and external audits (including BSP, SEC, external auditor, etc.).Collaborate with Compliance, Internal Audit, and Risk Management on matters related but not limited to: Control & Monitoring, IT Risk, Information Security, Business Continuity Management, Data Privacy, Compliance Risk, etc., representing the group/division/unit.
  • Act as a BCP representative of the group, and participate in planning and testing, reviewing, and obtaining plans from vendor partners (where applicable) to ensure that contingent measures are in place.
  • Generate reports and assessment findings of the assigned group/s to be submitted to the governance offices for validation and confirmation.
  • Responsible for information dissemination and training the group on updated regulatory circulars and policies to ensure awareness of changes that will impact operations.
  • Represent the group in internal or external meetings related to governance matters.
  • Ensure prompt submission of audit requirements, replies to issues, as well as monitoring of resolution.
  • Oversee and coordinate the implementation of the compliance system.
  • Ensure that there is an audit trail that enables compliance with applicable laws, Exchange, clearing agencies, and other SRO rules.
  • Oversee compliance with legislative and other regulatory requirements such as notifying the SEC of material changes in information previously filed, maintaining registers, books of accounts, and other records, compliance with rules, orders, and laws relating to trading, issuing confirmation receipts, compliance with margin rules, net capital, and other financial requirements.
  • Review the Corporate Governance manual of the subsidiary and draft revisions to incorporate changes/ updates in rules, regulations, and laws, if any.
  • Participate in the formulation of business requirements for any system enhancement; to ensure compliance with regulatory bodies.
  • Act as liaison personnel between the company and Regulatory bodies such as SEC, PSE, BSP, and SBC Compliance Group.
  • Ensure timely posting of duly approved manuals, policies, and procedures in the intranet portal and their dissemination to all concerned office/personnel.
  • Performs other related functions that may be assigned from time to time.

What we expect from you

  • Bachelor's Degree in Business Studies / Administration / Management, Commerce, Finance / Accountancy / Banking or equivalent.
  • Must have a license as an Associated Person.
  • Must have at least 3-5 years of work experience in brokerage operations and investment products.
  • Advanced understanding of compliance/regulatory requirements, risk management & controls, and brokerage processes.
  • Has the ability to prepare assessment reports, presentations, and findings.
  • Assertive, detail-oriented, and result-oriented with strong communication and coordination skills.
  • Manages good working relationships and maintains regular collaboration with different business units
  • Must not have been censured or reprimanded by a professional (e.g., IBP, PRC, etc.) or regulatory body (e.g. SEC, BSP, IC, etc.) for negligence, incompetence, or mismanagement, or dismissed or requested to resign from any position or office for negligence, incompetence or mismanagement, or be subject to any other disqualification under Section 29 of the SRC.
Join the Coins Team Now!
Meaningful Collaborations - The successful candidate will work cross-functionally with other relevant teams to carry out implementations that will improve and create an impact on customer experience.
Scalable Growth - Be part of a fast-growing organization with the vision to expand its territories outside APAC which will provide opportunities for career advancement.
A Space For Bright Ideas - Let your bright ideas be converted into meaningful changes! Coins culture welcomes new ideas backed up by data to create an impact.