FINRA Series 24 Compliance & Securities Ops Specialist

PRINCIPAL GLOBAL SERVICES (PHILIPPINES) LLC; Taguig; On-site; PHP 600,000 - 1,200,000; Full time

Job summary

Principal Global Services (Philippines) LLC is seeking a Compliance & Securities Operations professional to review general transactions across Principal Securities products, ensuring suitability for clients and regulatory adherence.

You will act as a liaison between Compliance and various operations areas, supporting smooth transitions, regulatory reporting, and handling customer concerns as needed while maintaining deep product knowledge and accuracy in processing.

Qualifications

• Knowledge of FINRA rules and regulatory requirements.
• Experience with securities products including stocks, bonds, mutual funds, annuities, and insurance.
• Ability to communicate effectively and manage time to meet deadlines.

Responsibilities

• Review general transactions across Principal Securities products for client suitability and regulatory compliance.
• Act as liaison between Compliance and operations to ensure smooth business transitions and regulatory reporting.
• Maintain comprehensive knowledge of securities products and system capabilities to support accurate processing.

Skills

FINRA registration

Series 7 & 24

Series 66 advantage

Securities products knowledge

Communication

Time management

Attention to detail

Education

Bachelor's degree or equivalent work experience

Job description

Principal Global Services (Philippines) LLC is seeking a Compliance & Securities Operations professional to review general transactions across Principal Securities products, ensuring suitability for clients and regulatory adherence.

You will act as a liaison between Compliance and various operations areas, supporting smooth transitions, regulatory reporting, and handling customer concerns as needed while maintaining deep product knowledge and accuracy in processing.