Job description for Compliance Staff at PT Phillip Sekuritas Indonesia
Job Descriptions:
- Oversee the execution of securities transactions relating to investment products to ensure compliance with the laws and regulations of the Republic of Indonesia, including OJK regulations, Company policies, Investment Policy Committee decisions, and applicable Investment Contracts.
- Provide legal and compliance advice and recommendations to the Board of Directors and Investment Committee to ensure compliance with applicable Capital Market laws, regulations, and Company policies.
- Provide data and supporting documents required for OJK, IDX, and other regulatory audits, examinations, and requests for information, and prepare periodic reports for internal and external stakeholders in accordance with applicable regulations and Company requirements.
- Handle correspondence and communication with regulators and other relevant internal and external parties, and monitor regulatory developments to assess their impact and recommend appropriate follow-up actions to ensure ongoing compliance.
- Structure, draft, negotiate, review, and administer contracts, agreements, Non-Disclosure Agreements (NDAs), and other legal documents related to commercial, financial, operational, and corporate matters, including institutional securities account opening forms, grant documents, inheritance-related documents, and other corporate legal documentation.
- Identify, assess, and address legal, compliance, and regulatory risks arising from business activities, cases, and applicable laws and regulations, and provide legal review and support for business activities and corporate matters.
- Handle legal and regulatory matters, including litigation support, regulatory examinations, investigations, and responses to inquiries or information requests from regulatory authorities.
- Support the implementation of Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD).
Requirements:
- Minimum Bachelor's Degree in Economics, Law, Finance, or a related field.
- Minimum 3 years of relevant experience in Compliance, Internal Audit, Legal, Risk Management, or a related function, preferably within the securities, investment, or financial services industry.
- Experience in legal drafting, legal review, regulatory compliance, contract management, and handling legal or regulatory matters.
- Good understanding of Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD)
- Proficiency in English, both written and verbal, is an advantage.
- Possession of a valid WPPE License issued by OJK is an advantage.
- Strong analytical skills, attention to detail, high integrity, disciplined, self-motivated, and the ability to work independently as well as collaboratively in a team.
- Computer literate and proficient in using relevant office applications.
- Willing to work beyond regular working hours when required by business needs.
