Compliance Specialist

For updating 

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Position Title: Compliance Specialist


Job Summary:


  • Under the direct supervision of the Department Head (DH), the Compliance Specialist assists the DH in supervising the ITTD in its oversight of the compliance testing process to ensure an on-going monitoring and assessment of the Compliance Policy Manual (CPM) and provision for the reporting of regulatory breaches to management and Board of Directors; oversight of the design and conduct of compliance training programs to increase compliance awareness.


Role Exposure:


Compliance Policy Manual

  • Conducts identification and selection of regulatory risk areas/activities for independent compliance testing (ICT) using approved methodologies;

Communication & Training

  • Renders advisory service on compliance matters and responds to queries;
  • Designs the contents of the various Compliance Training Programs/Modules/learning tools
  • Periodically reviews them for required updating;
  • Implements the various Compliance Training Programs/ Modules in coordination with LDD;
  • Conducts compliance lectures/act as resource speaker;
  • Supervises the preparation of InfoScripts concerning latest BSP issuances,  issues, policies that need reiterations, etc. for bank-wide dissemination;
  • Maintains the Compliance Library (Insight online);

Monitoring & Assessment

  • Conducts pre-transaction and/or post-transaction independent testing of identified areas/activities with regulatory risks, as well as specific areas of current/immediate concerns; 
  • Conducts review/validation of existing policies and procedures and periodic testing of certain regulatory reports as to accuracy and correctness;
  • Performs ad hoc reviews/investigations relative to compliance or regulatory breaches/violations and recommends appropriate action to management;
  • Supports the DH in the review Internal Audit Reports to identify compliance-related issues;
  • Assists the DH in the review of the report of Branch Operations Control Division on the results of its testing of compliance to specific regulations during its ocular visits to branches;
  • Supervises the maintenance of ITTD database; supervise the preparation/consolidation/updating of replies and monitoring of corrective actions taken/ to be taken on noted observations/ findings thru regular follow ups via email to concerned Units;
  • Reporting
  • Prepares reports on the results of ICT for review/approval of the Department Head/Division Head;
  • Assists in preparing reports/materials for SM/CGCCom/BOD, and other Bank committees, as needed;


  • Ensures that ICT folders and working papers are complete  prior submission to Compliance Analyst for filing;
  • Assists on the operational requirements of the department including monitoring and ensuring allocation of appropriate resources;
  • Promotes best practice and ethical standards;
  • Performs other related function that may be assigned from time to time.




  • Bachelor’s Degree
  • Experience in compliance particularly in policy review, monitoring and assessment
  • Strong analytical, organizational, and decision-making skills
  • Strong verbal / written communications
  • Must be able to interface and coordinate work efficiently and effectively with business partners

Other Details:

Rank: Junior Officer

Unit: Financial and Control Sector / Compliance Division / Independent Testing and Training Department

Location: Metrobank Center, BGC, Taguig City

For updating