Regulatory Compliance Associate, Philippine Equities

Regina Capital Development Corporation; Taguig; On-site; PHP 360,000 - 600,000; Full time

Job summary

Regina Capital Development Corporation seeks an Associated Person to support regulatory compliance in its Philippine Equities Brokerage unit. You will help ensure adherence to SEC and PSE rules, maintain client documents, and assist in regulatory reporting. Strong organizational skills and knowledge of KYC/AML are essential.

You will coordinate with Compliance and other departments, monitor deadlines, and support audits and examinations while handling sensitive information with integrity.

Qualifications

• Bachelor's degree in a related field is required.
• Knowledge of Philippine securities regulations (SEC, PSE) is an advantage.
• Familiarity with KYC, AML requirements and brokerage documentation.
• Strong organizational and documentation management skills.
• Proficient in MS Office applications, especially Excel and Word.
• Excellent written and verbal communication; ability to handle confidential information with integrity.
• Relevant SEC accreditation or qualifications applicable to the Associated Person role.

Responsibilities

• Support regulatory compliance and monitoring for Philippine Equities Brokerage.
• Prepare, review, and maintain regulatory documents and client account records.
• Assist in regulatory reporting, submissions, and tracking of deadlines.
• Review client documentation for KYC/AML compliance and account updates.
• Assist in audit and regulatory examinations coordination and follow-up actions.
• Provide administrative support and coordinate with relevant departments on compliance needs.

Skills

Regulatory compliance knowledge

Documentation management

Microsoft Excel

Written and verbal communication

Attention to detail

Time management

Education

Bachelor's degree in Accountancy, Finance, Business Administration, Economics, or related field

Tools

Microsoft Word

Job description

Regina Capital Development Corporation seeks an Associated Person to support regulatory compliance in its Philippine Equities Brokerage unit. You will help ensure adherence to SEC and PSE rules, maintain client documents, and assist in regulatory reporting. Strong organizational skills and knowledge of KYC/AML are essential.

You will coordinate with Compliance and other departments, monitor deadlines, and support audits and examinations while handling sensitive information with integrity.