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Alexander S. — Senior Compliance and Risk Management Specialist from Philippines

Alexander S.

Senior Compliance and Risk Management Specialist

Philippines 6+ years
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About

Alex S. is an accomplished Compliance Professional with extensive experience in the insurance industry, specializing in Sales Compliance, Market Conduct, and Ethics Training. He possesses robust expertise in Regulatory Compliance, Risk Management, and Anti-Fraud measures, bolstered by FLMI and ACS certifications from LOMA U.S.A. As a Compliance Officer at Egan-Jones Rating Company, Alex identifies and recommends improvements to internal controls, ensuring adherence to regulations. Previously, at CBRE GWS, he was pivotal in orchestrating compliance audits and formulating department policies. His tenure at FWD Life Insurance saw him adeptly manage market misconduct cases and spearhead compliance training initiatives. Additionally, Alex has honed his skills as a Senior Compliance Training Officer at AIA Philippines, where he led compliance policy training for staff. Alex's educational background is a Bachelor of Science in Commerce with a major in Accounting from Far Eastern University, further reinforcing his capabilities in the field.

Experience

  • Compliance Officer

    Egan-Jones Rating Company · 2023 — 2024
    Reviews and evaluates internal controls to pinpoint gaps and suggest enhancements. Recommends new controls to ensure compliance with policies and regulatory expectations.
  • Senior Ethics and Compliance Manager

    CBRE GWS · 2021 — 2022
    Serves as a compliance resource for process improvement initiatives, focusing on departmental policies. Coordinates annual audits, investigations, and compliance certifications, while maintaining statistical records for upper management.
  • Certified Life Skills & Self-Discovery Coach / Family Relationship Advisor

    I-Help Coaching and Business Solutions · 2020 — Present
    Facilitates coaching and learning sessions for clients, aiding them in overcoming past challenges and staying motivated in their pursuit of goals.
  • Distribution Compliance Associate Manager

    FWD Life Insurance Corporation (Philippines) · 2020 — 2020
    Engages regularly with functional unit heads to discuss compliance matters and leads compliance-related projects, including revisions of guidelines and training for team leaders and sales distributors.
  • Compliance Consultant for Distribution & Special Projects

    FWD Life Insurance Corporation (Philippines) · 2019 — 2019
    Participated in special compliance projects such as mystery shopping and policy revisions while reviewing investigation processes for minor offenses.
  • Licensed Financial Advisor (VUL & OL Products) / Certified Investment Solicitor (SEC-CISol)

    The Philippine American Life and General Insurance Company (AIA) · 2015 — 2018
    Conducted financial needs analysis and generated sales of life insurance products and mutual funds.
  • Senior Compliance Training Officer

    AIA Philippines · 2010 — 2015
    Led training sessions on compliance policies for general staff and facilitated compliance awareness and certification programs.
  • Corporate Compliance and Anti-Fraud Officer

    AIA Philippines · 1999 — 2009
    Handled investigations related to financial crimes and fraud within the organization.
  • Office Staff

    AIA Philippines (Philam Life) · 1986 — 1999
    Worked in various capacities, progressing to the position of Compliance Officer.

Skills & Expertise

Education

  • Bachelor of Science in Commerce major in Accounting
    Far Eastern University · 1981 — 1985
  • High School
    Rizal College · 1977 — 1981
  • Elementary
    Our Lady of Caysasay Academy · 1972 — 1977

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