10 дней назад
Securities Salesman / Trader (SEC-registered Securities Representative) (Fintech)
Мэтч & Сопровод
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Описание вакансии
Текст:
TL;DR
Securities Salesman / Trader (SEC-registered Securities Representative) (Fintech): Executing client orders on the Philippine Stock Exchange and onboarding customers through KYC, due diligence, suitability assessment, and account documentation with an accent on regulatory compliance and accurate trade records. Focus on maintaining SEC and PAM eligibility, supporting PSE trading operations, and escalating suspicious transactions and client conduct issues.
Location: National Capital Region, Philippines; Filipino citizenship and a valid Philippine National ID (PhilSys) are required.
Company
is a Philippine fintech company developing digital lending products and financial services focused on financial inclusion and customer accessibility.
What you will do
- Act as the designated Salesman/Trader and execute client orders on the Philippine Stock Exchange.
- Onboard clients through KYC, customer due diligence, suitability assessments, and account documentation.
- Maintain complete and accurate order and trade records under the firm's Written Supervisory Procedures.
- Operate in compliance with CMIC business conduct rules under the supervision of the firm's Associated Person.
- Support PSE Trading Participant operational readiness, including applicable PSE product training.
- Escalate suspicious transactions and client conduct issues to the compliance function.
Requirements
- Filipino citizenship is mandatory; applications from non-Filipino nationals cannot be processed.
- Current SEC registration as a Salesman/Securities Representative of a Philippine broker-dealer, or full eligibility to register.
- At least 18 years of age.
- For first-time registration, the SEC Certification Examination must have been passed within the previous three years; subsequent registration requires three years of registered Salesman experience or an examination passed within the previous three years.
- A valid Philippine National ID (PhilSys) is required for SEC certification enrolment.
- PAM certification and SEC licensing are required to obtain a PSE Trader account ID.
- Clean professional and regulatory record, with no relevant disciplinary sanctions, dismissals, SEC activity suspensions, or disqualification under Section 29 of the Securities Regulation Code.
Culture & Benefits
- Support for completing required training, refresher courses, and examination retakes after a career break of three years or more.
- Opportunity to contribute to a growing international fintech business focused on financial inclusion.
- Exposure to Philippine securities trading, PSE products, and regulated financial operations.
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