FINRA Series 24 Professional

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

About the role

• Review general transactions in all Principal Securities products to ensure they areappropriate forthe client and adhere to regulations. Responsible for reviewing new business, emails, processes, financial plans, analyzing products, and communicating with our Principal Advisor Network


• Act as a liaison between Compliance and various operations areas to ensure the smooth transition of business and to fulfill reporting requirements set forth by state and federal securities regulators. May assist Broker-Dealer operations and Compliance to research, respond and settle formal customer complaints.


• Maintaincomprehensive knowledge of all securities products and services offered by Principal Securities, and the system capabilities of Principal Securities. Including a sound understanding of applicable rules and regulations. This includes a sound understanding of system capabilities.

About you

• FINRA Series 7 and Series 24 required; Series 66 an advantage


• Bachelor's degree or equivalent work experience


• At least 2 years related financial services industry work experience


• Must be FINRA registered, which requires fingerprinting and full background check


• Strong knowledge of all securities products including stocks, bonds, mutual funds, annuities, and insurance


• Goal oriented and results driven


• Strong communication and time management skills


• Basic computer skills and ability to obtain knowledge of business unit software


• High degree of accuracy with strong attention to detail


• Ability to work independently in a fast-paced work environment to meet deadlines and shift priorities as necessary to fulfill customer needs