Licensed Brokerage Associate - Client Ops & Compliance

PHILSTOCKS FINANCIAL, INC; Metro Manila; On-site; PHP 300,000 - 550,000; Full time

Job summary

PHILSTOCKS FINANCIAL, INC. is seeking a qualified Associated Person to support brokerage operations and ensure regulatory compliance. You will execute client transactions and sustain strong client relationships under SEC and PSE standards.

Candidates should have a Finance-, Business-, or Economics-related degree, SEC Associated Person certification or eligibility, and 1–2 years of experience in brokerage or financial services. High integrity is essential.

Qualifications

• Must have a bachelor’s degree in a finance-related field.
• SEC-required Associated Person certification or eligibility.
• Strong knowledge of securities markets and trading procedures.
• Experience in brokerage or financial services preferred.
• Demonstrated integrity and ethical standards.

Responsibilities

• Execute client transactions in accordance with regulatory requirements.
• Ensure compliance with SEC and Philippine Stock Exchange rules.
• Maintain and deepen client relationships through service quality.

Skills

Securities markets knowledge

Regulatory compliance

Client relationships

Communication skills

Integrity

Education

Bachelor’s degree in Finance, Business Administration, Economics, or a related field

Job description

PHILSTOCKS FINANCIAL, INC. is seeking a qualified Associated Person to support brokerage operations and ensure regulatory compliance. You will execute client transactions and sustain strong client relationships under SEC and PSE standards.

Candidates should have a Finance-, Business-, or Economics-related degree, SEC Associated Person certification or eligibility, and 1–2 years of experience in brokerage or financial services. High integrity is essential.