Description: The Audit Staff assists in the conduct of the annual regulatory audit to assess the compliance of Trading Participants (TPs) with the requirements of the Securities Laws. All work and deliverables are subject to the Standard Review and Approval Process of the Company. Duties and Responsibilities: 1.Assists in the risk assessment of the TPs and in the establishment of the audit plan e.g. formulation of audit program and procedures for regular compliance audit. 2.Assists in the conduct of regulatory compliance audit based on the audit program approved by the Securities and Exchange Commission (SEC) a.Keeps the Junior Auditor informed of the progress on assignments and conforms to the Company's administrative policies and requirements and those of Trading Participants as applicable. b.Documents audit procedures performed c.Archives audit working papers d.Identifies and communicates issues and violations to the Junior Auditor. e.Drafts official correspondence e.g. Audit Authority Letter, Show Cause Letter, Sanction Letter f.Assists the Junior Auditor, Senior Auditor and/ or ACD Head during exit conference with the Trading Participant's nominee and Associated Person. 3.Monitors reports submitted by the Trading Participants such as Quarterly Compliance Report, Movement of PSE Shares, SEC Form 30.1, Internal/ Accredited Training Reports, List of Directors, Officers, Agents and Employees, and Employee Movement. 4.Assists in the conduct of special audit based on the objective, purpose and requirement endorsed by Investment and Enforcement Department or Surveillance Department. 5.Conducts periodic review of RBCA reports submitted by the TPs and assists in the preparation of Monthly Reports related to RBCA review. 6.Assists the team with the Failed TPs including the update and monitoring of the books and facilitation of disbursements of claims and requests for stock transfers. Qualifications: Education: Graduate of BS Accountancy or Internal Audit Skills: Attention to Details Project Management Oral and Written Communication Time Management Requirements: Skills: (Not indicated)