Unit Head

Responsibilities:

1) Compliance SME leadership and interpretation

• Authoritative interpretation: translates BSP/regulatory requirements into clear, practical requirements for front, middle, and back office.
• Consistent advice: provides consistent positions across products/teams; identifies and resolves interpretation conflicts early (including with Legal/Risk); takes the wider and proactive view in requests for opinion refresh whilst balancing established risk considerations.
• Risk-based prioritization: focuses effort on high-impact/high-risk obligations (publicly disclosed regulatory sanctions, governance/exam hot spots, latest trends and typologies).
• Escalation judgment: escalates borderline or high-impact matters with a clear “decision needed” recommendation and options/controls.

2) Regulatory change management (RCM) and horizon scanning

• Impact assessment: determines applicability, operational impact, control impact, and deadlines; identifies affected systems/data and required process changes.
• Execution tracking: assigns owners, milestones, and evidence requirements; drives closure by effective date and validates readiness.
• Communication & training: ensures timely cascade to relevant stakeholders; confirms understanding through briefings and targeted training.
• Post-implementation review: validates that updated controls work in practice (including exceptions handling), and updates guidance based on lessons learned.

3) Regulator engagement, RFIs, and examination readiness

• Primary coordination lead: coordinates on-site/off-site exams / reviews affecting the scope of coverage; organizes meetings with unit point persons and ensures walkthrough content and scope are fit for purpose.
• High-quality regulator responses: ensures replies/submissions are accurate, complete, consistent, and supported by evidence; manages internal sign-offs and version control.
• Audit trail discipline: maintains an exam-ready evidence pack (policies, procedures, monitoring/testing results, issue logs, training evidence, submissions proofs).
• Commitments management: takes an enterprise view in the articulation and management of supervisory findings and commitments; monitors target dates and closure evidence; escalates slippages early.
• Professional relationship management: fosters constructive working relationships while protecting the bank’s position (clear narratives, controlled commitments, timely follow-through).

4) Regulatory reporting and submissions governance

• Submission hygiene: maintains a reporting calendar and clear RACI; ensures on-time delivery with maker-checker controls and documented approvals.
• Data integrity: understands key data sources and transformations; implements reconciliations, plausibility checks, and exception handling.
• Independent validation mindset: ensures material submissions are independently validated where feasible (or that controls compensate where validation is constrained).
• Regulator feedback loop: tracks regulator questions/observations on submissions and uses them to strengthen processes, controls, and training.

5) Monitoring, independent compliance testing, and thematic reviews

• Risk-based plan: works closely and proactively with ICT to create a monitoring/testing plan focused on compliance outcomes, discretionary activities, high-risk obligations, and new regulatory/control requirements.
• Effective challenge: tests whether controls work in practice (not just design); challenges management judgment and documents conclusions.
• Clear reporting: leads the production of concise, decision-ready results (themes, root cause, severity, actions, owners, due dates) for governance forums.

6) Issue, breach, and remediation management

• Disciplined issue governance: ensures issues (regulatory, audit, monitoring/testing, incidents) are logged, risk-rated, assigned, and tracked to closure with evidence.
• Root-cause and prevention: drives corrective and preventive actions (process, controls, training, system fixes) rather than one-off remediation.
• Timely escalation: escalates material breaches/near misses and recurring themes promptly with recommended actions and residual risk.
• Closure validation: validates that remediation is implemented and effective (e.g., re-test / sample check) before sign-off.

7) Governance reporting and executive communication

• Decision-ready management information (MI): provides clear, concise reporting on key risks, trends, emerging issues, and actions (not just activity logs).
• Controls accountability: ensures accountability and lines of authority are clear for control owners; highlights where ownership is unclear or ineffective.
• Stakeholder alignment: communicates expectations and required actions effectively to first line, including difficult messages and deadlines.

8) People leadership and capability building

• Sets quality standards: defines what “good” looks like for advisories, testing workpapers, regulator responses, and submissions; implements QA checks.
• Develops bench strength: coaches team members, delegates stretch work, and builds a succession/backup plan for critical deliverables.
• Prioritization and delivery: balances BAU deadlines (regulator RFIs/submissions) with longer-term control uplift (testing, playbooks, automation).
• Culture of compliance: reinforces speak-up, timely escalation, and “no surprises” with stakeholders.

BDO Unibank, Inc. provides equal opportunity to all qualified candidates. Hiring decisions are based on job requirements and candidate qualifications, and shall not be influenced by any consideration  of race, color, religion, sex (including sexual orientation and gender identity), national or ethnic origin, or disability.                                                                                                                       Requisition ID: 28545