Associated Person
1 day ago
The Associated Person (AP) works under the supervision of a duly registered securities brokerage firm in the Philippines. The role involves supporting client acquisition, customer service, and brokerage operations while strictly complying with the Securities Regulation Code (SRC), SEC Philippines, PSE, and Capital Markets Integrity Corporation (CMIC)rules. The Associated Person does not provide investment advice or execute trades unless properly licensed and authorized.
Key Responsibilities
Client Support & Account Services
- Assist in client onboarding, including collection and verification of Know-Your-Customer (KYC) and Anti-Money Laundering (AML) documents
- Respond to client inquiries regarding account status, brokerage services, and general market information
- Maintain professional relationships with clients and assist in client retention efforts
- Refer clients to licensed Salesmen/Associated Persons or Trading Participants when required
Sales & Business Development (Non-Advisory)
- Support marketing and business development initiatives approved by the brokerage
- Promote brokerage products and services using SEC-approved materials
- Participate in client meetings and presentations alongside licensed personnel
- Refrain from providing stock recommendations or investment advice unless properly licensed
Administrative & Operational Support
- Assist in preparation and submission of account opening forms and transaction-related documents
- Maintain accurate and confidential client records in compliance with data privacy laws
- Coordinate with operations, compliance, and finance teams for smooth transaction processing
- Prepare basic reports and documentation as required by management
Compliance & Regulatory Adherence
- Comply with the Securities Regulation Code, SEC rules, PSE and CMIC regulations
- Follow internal compliance policies and supervisory procedures of the brokerage
- Attend mandatory compliance briefings, trainings, and regulatory updates
- Immediately escalate any suspected violations, complaints, or irregular activities
Qualifications
Education
- Bachelor's degree in Business, Finance, Economics, Accounting, or related field (preferred)
Experience
- Experience in securities brokerage, banking, financial services, or customer service is an advantage
- Fresh graduates may be considered for junior or trainee roles
Skills & Competencies
- Strong communication and interpersonal skills
- Basic knowledge of the Philippine capital markets
- High ethical standards and attention to detail
- Ability to work under supervision and follow regulatory instructions
- Proficiency in Microsoft Office and basic office systems
Licensing & Registration
- Must meet eligibility requirements set by SEC Philippines and the brokerage firm
- May be required to register as an Associated Person and complete required training
- Licensing as a Salesman is required before engaging in advisory or selling activities
Job Type: Full-time
Pay: Php50, Php70,000.00 per month
Work Location: In person
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