Salary Attractive Package
Consultant Ivana Veronica Hermoso
Date posted 31 May 20188767 Paseo De Roxas Makati City 1226 Robert Walters Philippines
An exciting Associated Person job position has opened up for one of the Philippines’ leading stock brokerage firms. Based in Makati, you will be in charge with the compliance processes of the firm.
About the Associated Person Role:
Your general responsibility is leading, managing, and formulating a sound compliance risk management framework.
- Monitor and implement compliance systems for broker-dealer
- Oversight of internal controls for employees, agents, sales people, officers, directors, clerks, and stockholders
- Ensure compliance with relevant regulators such as the Securities and Exchange Commission
To be successful in the Associated Person position, you must be an existing Associated Person for a well-known stock brokerage firm.
- At least two years of professional experience in a similar financial services company
- Attendance of the Certification Seminar for Associated Person and passed all exams module 1-5 provided by SEC
- Excellent communication and management skills
The company is one of the leading stock brokerage firms in the Philippines. With more than 60 years of presence in the industry, they are a major player in the Philippine financial markets. They are consistently awarded as a fully compliant firm which has an excellent reputation in the market.
If you are dynamic, ambitious, and looking for the next challenge in your career, this role is for you.
Apply today to discuss this opportunity.