Compliance officerPDAX, Inc.
Workplace: MetroManila, Manila, Taguig
Salary: Agreement
Work form: Full time
Posting Date: 18/12/2025
Deadline: 26/07/2021
Company Description
Many Filipinos do not have easy or affordable access to basic financial services like bank accounts, remittance services and investment products.
Blockchain technology is solving many of these problems through cryptocurrencies and digital assets. By providing an exchange platform for cryptocurrencies and digital assets, PDAX aims to make financial products and services cheaper and more accessible to the ordinary Filipino.
PDAX operates an open marketplace for digital assets, i.e. PDAX.ph and retail distribution app for securities, e.g. Bonds.PH.
PDAX is a financial institution regulated by the Bangko Sentral ng Pilipinas (BSP), and is Series A venture backed by the global leaders in crypto and blockchain technology, and by SEA-focused venture capital firms.
Role Description
As a Compliance Office, you will oversee and coordinate the implementation of the compliance system, and likewise the identification, monitoring and control of compliance risks. You will ensure the maintenance of a system to supervise the activities of all persons employed by the broker dealer who are directly and indirectly related to the conduct of its securities business.
Roles and Responsibilities
Assist in the preparation of complete and accurate replies to internal and external reviews
Act as a liaison between PDAX/Bonds.ph and regulatory bodies such as SEC, PSE, BSP, and PDAX/Bonds.ph Compliance Group.
Escalate to management all occurrences of non-compliance by PDAX/Bonds.ph or its staff with legal and regulatory requirements as well as with the company's internal policies and procedures
Approve personal trade transactions of directors, stockholders, officers, and staff, if applicable
Attend to major and critical regulatory issues and concerns affecting the company's operations and make necessary recommendations to resolve various regulatory concerns /issues affecting the company.
Ensure that only licensed Traders/Salesmen are given access to the exchange order entry system and trading floor
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 related to trading, issuing confirmation receipts, compliance with margin rules, net capital, and other financial requirements.
Conduct periodic compliance checking through sample testing and review of audit reports covering evaluation of existing processes, policies, and procedures including completeness of KYC documents and effectivity of record retention system.
Prepare, review, and sign documents/reports prior to submission to PDEx/SEC/BSP/BIR as needed
Related responsibilities that may be assigned from time to time.
Bachelor's Degree in Business Studies/Administration/Management, Finance/Accountancy/Banking
At least 3 years' experience in General Regulations
Strong knowledge on Bangko Sentral ng Pilipinas (BSP), Securities and Exchange Commission (SEC), Philippine Dealing and Exchange (PDEX), and PDS rules. Knowledge on risk management
Above average oral and written communication skills. Policy and report writing skills. Good interpersonal skills. Analytical and critical thinking skills. Auditing skills
Able to interpret rules and regulations. Able to provide sound advice to business units.
Able to communicate effectively with all levels of the organization, including senior management and external regulatory agencies
Work from Home
Mid-Senior Level / Manager Legal Other Financial Services 1 opening Bachelor's degree graduate
Many Filipinos do not have easy or affordable access to basic financial services like bank accounts, remittance services, and investment products. Blockchain technology is solving many of these problems through cryptocurrencies and digital assets. By providing an exchange platform for cryptocurrencies and digital assets, PDAX aims to make financial products and services cheaper and more accessible to the ordinary Filipino. PDAX operates an open marketplace for digital assets, i.e. PDAX.ph and retail distribution app for securities, e.g. Bonds.PH.PDAX is a financial institution regulated by the Bangko Sentral ng Pilipinas (BSP), and is Series A venture backed by the global leaders in crypto and blockchain technology, and by SEA-focused venture capital firms.
Kalibrr
Many Filipinos do not have easy or affordable access to basic financial services like bank accounts, remittance services and investment products.
Blockchain technology is solving many of these problems through cryptocurrencies and digital assets. By providing an exchange platform for cryptocurrencies and digital assets, PDAX aims to make financial products and services cheaper and more accessible to the ordinary Filipino.
PDAX operates an open marketplace for digital assets, i.e. PDAX.ph and retail distribution app for securities, e.g. Bonds.PH.
PDAX is a financial institution regulated by the Bangko Sentral ng Pilipinas (BSP), and is Series A venture backed by the global leaders in crypto and blockchain technology, and by SEA-focused venture capital firms.
Role Description
As a Compliance Office, you will oversee and coordinate the implementation of the compliance system, and likewise the identification, monitoring and control of compliance risks. You will ensure the maintenance of a system to supervise the activities of all persons employed by the broker dealer who are directly and indirectly related to the conduct of its securities business.
Roles and Responsibilities
Assist in the preparation of complete and accurate replies to internal and external reviews
Act as a liaison between PDAX/Bonds.ph and regulatory bodies such as SEC, PSE, BSP, and PDAX/Bonds.ph Compliance Group.
Escalate to management all occurrences of non-compliance by PDAX/Bonds.ph or its staff with legal and regulatory requirements as well as with the company's internal policies and procedures
Approve personal trade transactions of directors, stockholders, officers, and staff, if applicable
Attend to major and critical regulatory issues and concerns affecting the company's operations and make necessary recommendations to resolve various regulatory concerns /issues affecting the company.
Ensure that only licensed Traders/Salesmen are given access to the exchange order entry system and trading floor
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 related to trading, issuing confirmation receipts, compliance with margin rules, net capital, and other financial requirements.
Conduct periodic compliance checking through sample testing and review of audit reports covering evaluation of existing processes, policies, and procedures including completeness of KYC documents and effectivity of record retention system.
Prepare, review, and sign documents/reports prior to submission to PDEx/SEC/BSP/BIR as needed
Related responsibilities that may be assigned from time to time.
Bachelor's Degree in Business Studies/Administration/Management, Finance/Accountancy/Banking
At least 3 years' experience in General Regulations
Strong knowledge on Bangko Sentral ng Pilipinas (BSP), Securities and Exchange Commission (SEC), Philippine Dealing and Exchange (PDEX), and PDS rules. Knowledge on risk management
Above average oral and written communication skills. Policy and report writing skills. Good interpersonal skills. Analytical and critical thinking skills. Auditing skills
Able to interpret rules and regulations. Able to provide sound advice to business units.
Able to communicate effectively with all levels of the organization, including senior management and external regulatory agencies
Work from Home
Mid-Senior Level / Manager Legal Other Financial Services 1 opening Bachelor's degree graduate
Many Filipinos do not have easy or affordable access to basic financial services like bank accounts, remittance services, and investment products. Blockchain technology is solving many of these problems through cryptocurrencies and digital assets. By providing an exchange platform for cryptocurrencies and digital assets, PDAX aims to make financial products and services cheaper and more accessible to the ordinary Filipino. PDAX operates an open marketplace for digital assets, i.e. PDAX.ph and retail distribution app for securities, e.g. Bonds.PH.PDAX is a financial institution regulated by the Bangko Sentral ng Pilipinas (BSP), and is Series A venture backed by the global leaders in crypto and blockchain technology, and by SEA-focused venture capital firms.
Kalibrr
Other Info
Taguig City, Metro Manila
Permanent
Full-time
Permanent
Full-time
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PDAX, Inc.
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