Field Supervisor - Securities Compliance & Operations

Principal Global Services (Philippines) LLC; Taguig; On-site; PHP 600,000 - 800,000; Full time

Job summary

Principal Global Services (Philippines) LLC is seeking a qualified candidate to review transactions and ensure compliance with relevant regulations. The role requires strong knowledge of securities products and the ability to work independently in a fast-paced environment.

Applicants must hold FINRA Series 7 and Series 24 licenses, possess a bachelor's degree or equivalent experience, and have at least two years in the financial services industry.

Qualifications

• FINRA Series 7 and Series 24 required; Series 66 an advantage.
• At least 2 years of related financial services industry work experience.
• Must be FINRA registered, requiring fingerprinting and background check.

Responsibilities

• Review transactions for compliance with regulations.
• Act as a liaison between Compliance and operations.
• Maintain knowledge of securities products and regulations.

Skills

Communication skills

Time management

Attention to detail

Goal oriented

Education

Bachelor’s degree or equivalent work experience

Tools

Business unit software

Job description

Principal Global Services (Philippines) LLC is seeking a qualified candidate to review transactions and ensure compliance with relevant regulations. The role requires strong knowledge of securities products and the ability to work independently in a fast-paced environment.

Applicants must hold FINRA Series 7 and Series 24 licenses, possess a bachelor's degree or equivalent experience, and have at least two years in the financial services industry.