SEC ASSISTANT DIRECTOR

Salary Grade 25

Place of Assignment
 Office of the General Accountant – SEC Oversight Assurance Review Division (BGA-5-2016)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 5 years experience in accounting/auditing work preferably with experience in taxation and
information technology; and
o 4 years of which must be in a supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
o Strategic Planning and Management;
o Managerial Leadership;
o Strategic and Critical Thinking;
o Strategic Decision-Making;
o Coaching and Mentoring for Leaders;
o Stress Management;
o Change Management;
o Monitoring and Evaluation/Results-Based Monitoring;
o Risk Management;
o Knowledge Management for Leaders;
o Project Development and Management and Monitoring;
o Performance and Results Management;
o Leadership Series;
o 7 Habits of Highly Effective Government Leaders;
o Managers Role in Capacity Building;
o Succession Management;
o Supervisory Development Course/Program;
o Technical training on accounting and standards and Code of Ethics for Professional
Accountants updates; and
o Other related supervisory/ management learning and development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (CPA)

Job Description

The Assistant Director’s (AD) primary responsibility is to lead the Inspection Team to ensure a thorough and
effective review and inspection of the systems of quality control of SEC-accredited Audit Firms and review
portion of audit working papers for selected audits of PLCs. The AD is also the focal point throughout the
conduct of inspection.
The SEC Assistant Director shall also perform the following functions:

1. Conduct the SOAR Planning Meeting and review the Planning Memorandum and other related pre-planning
documents for each scheduled inspection;
2. Ascertain that all SOAR Inspection Team members are independent to the Audit Firm subjected for
inspection as well as to the selected PLCs in compliance with the SEC and SOAR independence policies;
3. Review the selection of the Audit Firm as well as the audit of PLCs subject for inspection based on the risk-
based criteria of selection;
4. Monitor the progress of fieldwork / virtual inspection and coordinate with the Audit Firm and audit team for
meetings during the inspection;
5. Review the significant issues observed and noted by the team members and assess potential impact of the
issues;
6. Conduct the opening and status meetings with the Audit Firms during and after the on-site inspection;
7. Review the Letter of Findings (LOF), Preliminary Inspection Report (PIR) and the Final Inspection Report
(FIR) prepared by the Supervising Accountants;
8. Review the Audit Firm’s action plan or remedial actions within the remediation period and monitor the
progress and status;
9. Lead the debrief session after each and every inspection.
10. Assess whether the team needs to consult to resource persons based on the complexity of the potential
issues that may result to inspection findings;
11. Provide performance feedback to the SEC Supervising Accountant after the completion of each and every
inspection/or as needed; and
12. Perform such other functions as may be assigned by the General Accountant, Chairperson or the
Commission en banc.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Office of the General Accountant – Accounting and Audit Policy Division (BGA-16-2017)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 5 years experience in accounting/auditing work preferably with experience in taxation and
information technology; and
o 4 years of which must be in a supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
o Strategic Planning and Management;
o Managerial Leadership;
o Strategic and Critical Thinking;
o Strategic Decision-Making;
o Coaching and Mentoring for Leaders;
o Stress Management;
o Change Management;
o Monitoring and Evaluation/Results-Based Monitoring;
o Risk Management;
o Knowledge Management for Leaders;
o Project Development and Management and Monitoring;
o Performance and Results Management;
o Leadership Series;
o 7 Habits of Highly Effective Government Leaders;
o Managers Role in Capacity Building;
o Succession Management;
o Supervisory Development Course/Program;
o Technical training on accounting and standards and Code of Ethics for Professional
Accountants updates; and
o Other related supervisory/ management learning and development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (CPA)

Job Description

The SEC Assistant Director shall perform the following functions:

1. Assist the General Accountant in coordinating and addressing issues on financial reporting and other
related matters;
2. Assist the General Accountant in interacting with organizations and industry associations to develop
financial reporting and auditing standards and practices for the Philippines and its capital market; Attend
meetings on behalf of the General Accountant in case of her/his unavailability;
3. Represent the General Accountant in various Technical Working Groups;
4. Draft and/or formulate rules and guidelines as part of the Commission’s financial reporting rules and ensure
timely adoption of financial reporting and auditing standards;
5. Accomplish department objectives by planning and evaluating department activities;
6. Establish a clear-cut job description and specific duty assignment for each employee to ensure efficient and
timely completion of tasks;
7. Provide oversight and direction to the team under his/her group;
8. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Office of the General Accountant – Accreditation Division (BGA-25-2017)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 5 years experience in accounting/auditing work preferably with experience in taxation and
information technology; and
o 4 years of which must be in a supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
o Strategic Planning and Management;
o Managerial Leadership;
o Strategic and Critical Thinking;
o Strategic Decision-Making;
o Coaching and Mentoring for Leaders;
o Stress Management;
o Change Management;
o Monitoring and Evaluation/Results-Based Monitoring;
o Risk Management;
o Knowledge Management for Leaders;
o Project Development and Management and Monitoring;
o Performance and Results Management;
o Leadership Series;
o 7 Habits of Highly Effective Government Leaders;
o Managers Role in Capacity Building;
o Succession Management;
o Supervisory Development Course/Program;
o Technical training on accounting and standards and Code of Ethics for Professional
Accountants updates; and
o Other related supervisory/ management learning and development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (CPA)

Job Description

The SEC Assistant Director shall perform the following functions:

1. Assist the General Accountant in coordinating and addressing issues on accreditation and other related
matters;
2. Assist the General Accountant in interacting with professional organizations and associations. Attend
meetings on behalf of the General Accountant in case of her/his unavailability;
3. Review recommendations, communications, memoranda and other outputs of SEC Accountants under
his/her group;
4. Monitor compliance by SEC Accountants with office rules and regulations, and work commitments;
5. Accomplish department objectives by planning and evaluating department activities;
6. Establish a clear-cut job description and specific duty assignment for each employee to ensure efficient and
timely completion of tasks;
7. Provide oversight and direction to the team under his/her group;
8. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC CONFIDENTIAL ASSISTANT III
Salary Grade 13

Place of Assignment
 Office of the General Accountant (BGA-2)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in office management
 Training
o 8 training hours relevant to the job and other learning and development interventions relevant
to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Confidential Assistant III shall perform the following functions:

1. Arrange meetings, appointments and schedule of activities of the Office of the General Accountant and the
General Accountant;
2. Receive incoming application for accreditation, letters, memo related to OGA work processes;
3. Draft letters, reports and memos needed by the General Accountant;
4. Evaluate notification to filed by corporation to use functional currency in its financial statements and draft
acknowledgement letter;
5. Prepare Payment assessment form;
6. Log, indicate control number, update Index Tracking System and Prepare certificate of accreditation
(External Auditor, Auditing Firm, Asset Avaluer and Credit Rating Agencies);
7. Barcode Certificate of Accreditation, Order of Payment, Orders, Acknowledgment Letter to use Functional
Currency, Opinion, Request for Exemptive Relief, Certifications;
8. Provide MIS of the Amended Rules, Circular, Notices and updated list of accreditations for uploading in the
SEC website;
9. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc;
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Office of the General Accountant (BGA-3)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Receive general office mail and distributes as appropriate, deliver correspondence from the Commissioners.
2. Act as a general receptionist for the area. Direct visitors to meeting locations. Answer telephones and
forward calls to proper party. Take messages as needed. Maintain message log.
3. Receive all electronic or paper copy documents to be filed. Follow SEC standards in filling the document.
Update any logs or records about where and how the document is filed. Produce reports on documents filed,
as appropriate.
4. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC SENIOR ACCOUNTANT
Salary Grade 21

Place of Assignment
 Office of the General Accountant – SEC Oversight Assurance Review Division (BGA-10-2016)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 4 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 56 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)

Job Description

The main responsibility of SEC Senior Accountant is to review in details the audit working papers of selected
audit engagement under inspection to ensure compliance with the applicable professional standards and
other regulatory requirements.

The SEC Senior Accountant shall also perform the following functions:

1. Read and understand the annual reports, audited financial statements and other relevant filings/documents
before the scheduled inspection to gain wider insights on the focus areas and key risk areas;
2. Review in details the audit working papers of the selected audit engagements under inspection;
3. Consult the Supervising SEC Accountant or the AD, on a timely basis, when issues arise during the
fieldwork, particularly on the potential significant findings and deficiencies in quality control policies and
procedure;
4. Provide performance feedback to the assigned counselees after the completion of each and every
inspection/or as needed; and
5. Perform such other functions as may be assigned by the AD, General Accountant, Chairperson or the
Commission en banc.
SEC ACCOUNTANT II
Salary Grade 20

Place of Assignment
 Office of the General Accountant – SEC Oversight Assurance Review Division (BGA-14-2016)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 3 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 48 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)

Job Description

The main responsibility of SEC Accountant II is to review in details the audit working papers of selected audit
engagement under inspection to ensure compliance with the applicable professional standards and other
regulatory requirements.

The SEC Accountant II shall also perform the following functions:

1. Read and understand the annual reports, audited financial statements and other relevant filings/documents
before the scheduled inspection to gain wider insights on the focus areas and key risk areas;
2. Review in details the audit working papers of the selected audit engagements under inspection;
3. Consult the Supervising SEC Accountant or the AD, on a timely basis, when issues arise during the
fieldwork, particularly on the potential significant findings and deficiencies in quality control policies and
procedure;
4. Provide performance feedback to the assigned counselees after the completion of each and every
inspection/or as needed; and
5. Perform such other functions as may be assigned by the AD, General Accountant, Chairperson or the
Commission en banc.
SEC SENIOR ACCOUNTANT
Salary Grade 21

Place of Assignment
 Office of the General Accountant – Accounting and Audit Policy Division (BGA-19-2017)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 4 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 56 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)

Job Description

The SEC Senior Accountant shall perform the following functions:

1. Assist the Assistant Director in drafting and/or formulating rules and guidelines as part of the Commission’s
financial reporting rules and ensures timely adoption of financial reporting and auditing standards;
2. Draft, formulate and/or review opinions or interpretations on financial reporting issues and related matters;
3. Handle special and technical assignments from the Assistant Director that would require rigid evaluation
and application of high technical expertise.
4. Review applications and financial statements as may be assigned by the Assistant Director;
5. Assist in the conduct of on-site audit of corporations as may be requested by operating departments and
approved by the En Banc;
6. Conduct research on critical financial reporting and other related issues;
7. Conduct special review of audited financial statements of companies involved in Congressional
investigation and investigation by the SEC;
8. Represent the General Accountant in Technical Working Groups as may be assigned by the Assistant
Director;
9. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC ACCOUNTANT II
Salary Grade 20

Place of Assignment
 Office of the General Accountant – Accounting and Audit Policy Division (BGA-23-2017)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 3 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 48 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)

Job Description

The SEC Accountant II shall perform the following functions:

1. Assist the Assistant Director in drafting and/or formulating rules and guidelines as part of the Commission’s
financial reporting rules and ensures timely adoption of financial reporting and auditing standards;
2. Draft or formulate opinions or interpretations on financial reporting issues and related matters; Handle
special and complex assignments from the Assistant Director that would require rigid evaluation and
application of high technical expertise;
3. Review applications as may be assigned by the Assistant Director;
4. Review financial statements as may be assigned by the General Accountant;
5. Conduct research on critical financial reporting and other related issues;
6. Conduct special review of audited financial statements of companies involved in Congressional
investigation and investigation by the SEC;
7. Represent the General Accountant in Technical Working Groups as may be assigned by the Assistant
Director;
8. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC ACCOUNTANT I
Salary Grade 18

Place of Assignment
 Office of the General Accountant – Accounting and Audit Policy Division (BGA-1)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 2 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 24 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)
SEC ACCOUNTANT II
Salary Grade 20

Place of Assignment
 Office of the General Accountant – Accreditation Division (BGA-28-2017)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 3 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 48 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)

Job Description

The SEC Accountant II shall perform the following functions:

1. Assist the Assistant Director in drafting and/or formulating rules and guidelines on accreditation;
2. Draft or formulate opinions or interpretations on accreditation issues and related matters;
3. Conduct research on accreditation and other related issues;
4. Review applications for accreditation as may be assigned by the General Accountant;
5. Review financial statements as may be assigned by the General Accountant;
6. Evaluate applications for issuance of a Certificate of Eligibility under the Special Purpose Vehicle Act, as
amended;
7. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC ACCOUNTANT II
Salary Grade 20

Place of Assignment
 Office of the General Accountant – Accreditation Division (BGA-33-2017)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 3 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 48 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)

Job Description

The SEC Accountant II shall perform the following functions:

1. Assist the Assistant Director in drafting and/or formulating rules and guidelines on accreditation;
2. Draft or formulate opinions or interpretations on accreditation issues and related matters;
3. Conduct research on accreditation and other related issues;
4. Review applications for accreditation as may be assigned by the General Accountant;
5. Review financial statements as may be assigned by the General Accountant;
6. Evaluate applications for issuance of a Certificate of Eligibility under the Special Purpose Vehicle Act, as
amended;
7. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC ACCOUNTANT II
Salary Grade 20

Place of Assignment
 Office of the General Accountant – Accreditation Division (BGA-34-2017)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 3 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 48 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)

Job Description

The SEC Accountant II shall perform the following functions:

1. Assist the Assistant Director in drafting and/or formulating rules and guidelines on accreditation;
2. Draft or formulate opinions or interpretations on accreditation issues and related matters;
3. Conduct research on accreditation and other related issues;
4. Review applications for accreditation as may be assigned by the General Accountant;
5. Review financial statements as may be assigned by the General Accountant;
6. Evaluate applications for issuance of a Certificate of Eligibility under the Special Purpose Vehicle Act, as
amended;
7. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC ACCOUNTANT II
Salary Grade 20

Place of Assignment
 Office of the General Accountant – Accreditation Division (BGA-35-2017)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 3 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 48 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)

Job Description

The SEC Accountant II shall perform the following functions:

1. Assist the Assistant Director in drafting and/or formulating rules and guidelines on accreditation;
2. Draft or formulate opinions or interpretations on accreditation issues and related matters;
3. Conduct research on accreditation and other related issues;
4. Review applications for accreditation as may be assigned by the General Accountant;
5. Review financial statements as may be assigned by the General Accountant;
6. Evaluate applications for issuance of a Certificate of Eligibility under the Special Purpose Vehicle Act, as
amended;
7. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC ACCOUNTANT I
Salary Grade 18

Place of Assignment
 Office of the General Accountant – Accreditation Division (BGA-4-2013)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 2 years experience in accounting/auditing work preferably with experience in taxation and
information technology
 Training
o 24 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management, and other learning and development interventions
 Eligibility
o RA 1080 (CPA)

Job Description

The SEC Accountant I shall perform the following functions:

1. Assist the Assistant Director in drafting and/or formulating rules and guidelines on accreditation;
2. Draft or formulate opinions or interpretations on accreditation issues and related matters;
3. Conduct research on accreditation and other related issues;
4. Review applications for accreditation as may be assigned by the General Accountant;
5. Review financial statements as may be assigned by the General Accountant;
6. Evaluate applications for issuance of a Certificate of Eligibility under the Special Purpose Vehicle Act, as
amended;
7. Perform such other functions as may be assigned by the General Accountant, Chairperson or the En Banc.
SEC PROCESS SERVER
Salary Grade 7

Place of Assignment
 Office of the General Counsel (BGC 6-2017)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience in office management
 Training
o 8 hours training relevant to the functions of the position and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Process Server shall perform the following functions:

1. Provide prompt, safe, and reliable driver’s services to the staff of the Office of the General Counsel and
official SEC deliveries.
2. Ensure prompt and regular maintenance services required for service vehicle and keep the same clean and
in good order.
3. Keep accurate and updated records/ documents to support maintenance registration and expenditures
pertaining to service vehicle.
4. Provide additional messengerial services as directed by the General Counsel.
5. Perform such other functions as may be directed by the General Counsel.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Office of the General Counsel – Policy and Legislative Liaison Division (C-3c-1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 5 years relevant/related experience in the regulation of the Integrity of Markets, regulation of
the integrity of Market information and Regulations and Oversight of Market intermediaries
and market professionals; and
o 4 years of supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and
 Other related supervisory/ management Learning and Development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (BAR)
SECURITIES REVIEW COUNSEL
Salary Grade 21

Place of Assignment
 Office of the General Counsel – Policy and Legislative Liaison Division (BGCR 1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 2 years relevant/related experience such as drafting of pleadings, contracts, decisions,
opinions, corporate documents; legal research; investigation/litigation; processing of
corporate documents; interpretation of law
 Training
o 56 hours relevant training, and other learning and development interventions
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Review Counsel shall perform the following functions:

1. With assistance from SEC Support/Clerks, maintain a docket of matters to be heard for cases assigned by
the Supervising Securities Review Counsel.
2. Conduct on the hearings-on-the-merits of cases assigned during which witnesses are heard and evidence
is introduced and received into the record.
3. At the conclusion of each hearing, prepare findings of fact and conclusions of law and issues to be
recommended to the SEC Commission en banc in support or as basis for its action/decision.
4. Perform such other functions as may be directed by the Supervising Securities Review Counsel/SEC
General Counsel.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Office of the General Counsel – Policy and Legislative Liaison Division (BGC1-a)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel I & II shall perform the following functions:

1. Responsible for providing legal advice, assistance and analysis on matters assigned by his/her supervisor.
2. Does research on legal issues, including on matters involving the regulatory work of the department such
as trading practices of exchanges and other markets, SRO Rules, market surveillance of securities trading and
monitoring of market participants.
3. Perform legal research and prepare memoranda on regulatory issues involving licensing of market
participants, exchanges and SROs, rulemaking, securities trading, clearing and settlement, and questions
arising out of the inspecting program and from filings by market participants.
4. Render legal advice to staff of the Compliance and Enforcement Department on regulatory issues impacting
the Department of Market Regulation involving investigations, enforcement recommendations, enforcement
actions, settlements, litigation, administrative hearings, sanctions, appeals, and procedures.
5. Perform such other functions as may be directed by the SEC General Counsel.
SEC CHIEF COUNSEL
Salary Grade 23

Place of Assignment
 Office of the General Counsel – Adjudication Division (BGC-2-2a-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 4 years relevant/related experience in any or combination of the following: legal research and
counselling, litigation, advocacy, investigation, drafting of pleadings, contracts, decisions,
opinions, corporate documents, processing of corporate documents, relating to corporate
sector and capital market. Experience in policy formulation, rule making and market
supervision relating to the capital markets is preferred; and
o 2 years of supervisory/ management work experience
 Training
o 64 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o RA 1080 (BAR)
SEC CONFIDENTIAL ASSISTANT III
Salary Grade 13

Place of Assignment
 Office of the General Counsel (BGC 2)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in office management
 Training
o 8 training hours relevant to the job and other learning and development interventions
relevant to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Office of the General Counsel – Adjudication Division (BGCR a-2)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Office of the Commission Secretary (BGC-CS12-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Be in charge of the day-to-day legal work and tasks of the office, including interpretation of laws and
regulations, rule making, policy formulation, drafting of resolutions and minutes of meetings.
2. Lead in the implementation of the Freedom of Information (FOI) program of the SEC.
3. Lead in the implementation of the compliance program of the Commission with the Data Privacy Act (DPA).
4. Participate in the implementation of the media relations programs of the Commission.
5. Conduct legal studies on data privacy and protection, right to information, investor rights, capital markets
and other subject matters and recommend reforms where appropriate.
6. Develop rules of practice and procedures to guide the Commission, Departments, Offices, staff and the
public on the Commission’s processes and procedures.
7. Assist in the conduct of the Commission meetings.
8. Provide legal advice to the technical staff and external parties in relation to the laws and regulations
implemented by the office.
9. Represent the office on legal and other issues with other organizations.
10. Manage the administrative and personnel matters of the office as instructed by the Commission Secretary.
11. Perform such other functions as may be directed by the SEC Commission Secretary.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Office of the Commission Secretary (BGC CS2)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
o Accountancy
o Finance
o Business Administration
o Statistics
o Economics
o Mathematics
o Social/Behavioral Sciences
o And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist I shall perform the following functions:

1. Conduct research on capital markets, investor rights, data privacy and protection, right to information and
related issues and disseminate research findings through technical reports.
2. Compile capital market related data and statistical reports relating to regulated entities, and conduct
empirical analysis research thereon using appropriate mathematical models and statistical techniques.
3. Prepare catalogue, index, abstract of the matters discussed in the Commission meetings based on the
minutes, resolutions and memoranda and related materials by significant topics and subjects for policy
research and reference.
4. Provide advisory assistance to the public needing information about the capital markets.
5. Provide technical assistance to the work program of the office.
6. Provide administrative support to the operations of the office.
7. Perform such other functions as may be directed by the SEC Commission Secretary.
SEC INFORMATION OFFICER III
Salary Grade 18

Place of Assignment
 Office of the Commission Secretary (BGC-CS6-2017)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Communication Arts
 Journalism
 Public Relations
 Media Studies
 Business
 Economics
 And other social sciences courses and other related disciplines
 Experience
o 2 years relevant/related experience in communication and mass media including social media
management, capital market industry, corporate sector or government service
 Training
o 24 hours relevant training in any or combination of the following: development
communication, media management, financial and capital markets, general management, and
other learning and development interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Information Officer III shall perform the following functions:

1. Develop communication strategies in line with the Commission’s vision through research, platform
determination, benchmarking, messaging and audience identification as applicable;
2. Implement advocacy programs and other initiatives in order to broaden the awareness of stakeholders and
the general public of the mandate of the SEC as the champion of investor protection, registrar and overseer
of the corporate sector and regulator of the capital market;
3. Produce information, communication and education materials such as press releases, briefers, facts sheets
and other literature, as well as infographics and other visuals on the Commission’s programs and activities
for dissemination through various media;
4. Coordinate with other departments or offices of the Commission in coming up with information materials
relating to their programs and activities;
5. Manage the Commission’s social media pages in accordance with the Commission’s overall social media
strategy and engagement protocols for social media;
6. Establish good working relationships with the media, key opinion leaders, partner-organizations and
stakeholders;
7. Coordinate media interviews and speaking engagements, and prepare executive briefing materials to help
the assigned spokesperson.
8. Monitor various media channels for news reports concerning and relevant to the SEC and its programs;
9. Represent the office in external events as instructed; and
10. Perform such other functions as may be directed by the SEC Commission Secretary.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Markets and Securities Regulation Department – Securities Registration Division (C-1a-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Accountancy
 Information Technology or Computer Science
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 5 years relevant/related work experience; 4 years of which must be in a supervisory/
management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and
 Other related supervisory/management Learning and Development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility

Job Description

The Assistant Director of SRD shall take leadership role in planning, organizing, directing, controlling,
monitoring, and coordinating the activities of the division.
1. The Assistant Director shall provide direction in policy formulation, rulemaking and market supervision in
relation to the following:

a. Registration of securities and grants exemption from registration such as but not limited to equity securities,
bonds, commercial papers issued by issuer of registered equity and bond, real estate investment trust and
other alternative investment products
b. Supervision and monitoring the compliance by the issuers of securities with legal and regulatory
requirements;

2. The Assistant Director shall cause the review of proposed rules of self-regulatory organizations (SROs) and
other market participants, and proposed products and services in the market, in relation to the registration of
securities in coordination with other offices, to ensure their consistency with securities laws, regulations,
policies and global best practices;
3. The Assistant Director shall cause the review of existing regulatory frameworks of the securities industry,
conduct market-related research and recommend rules and/or reforms, in relation to the registration of
securities in coordination with other offices;
4. The Assistant Director shall represent the division on matters regarding legal and regulatory issues with
other offices, SROs, securities associations and other domestic and foreign agencies.
5. The Assistant Director shall likewise provide overall direction in administrative and personnel matters of
the division.
6. Review show cause orders, assessment letters and recommendations for imposition of penalties for non-
compliance with the rules and regulations implemented by the Department.
7. Perform such other functions as may be directed by the Director.
SEC CHIEF COUNSEL
Salary Grade 23

Place of Assignment
 Markets and Securities Regulation Department – Securities Registration Division (C-1a-2)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 4 years relevant/related experience in any or combination of the following: legal research and
counselling, litigation, advocacy, investigation, drafting of pleadings, contracts, decisions,
opinions, corporate documents, processing of corporate documents, relating to corporate
sector and capital market. Experience in policy formulation, rule making and market
supervision relating to the capital markets is preferred; and
o 2 years of supervisory/ management work experience
 Training
o 64 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o RA 1080 (BAR)

Job Description

The SEC Chief Counsel shall take a leadership role in policy formulation, rulemaking and market supervision,
in relation to securities registration and compliance of registrants with securities laws and rules.

The SEC Chief Counsel shall also perform the following functions:

1. Manage the day-to-day legal work and tasks of the office, including rule making, interpretation of laws and
rules, and review of exemptive relief, in relation to registration of securities.
2. Lead in the review of the regulatory framework of the securities industry, conduct legal studies on capital
markets and recommend reforms where appropriate, for policy formulation.
3. Lead in conducting onsite and offsite regulatory compliance audit of regulated entities and assign audit
tasks.
4. Provide legal advice in the supervision of securities markets such as exchanges, alternative trading
systems, over-the-counter markets and other trading markets, self-regulatory organizations, clearing
agencies, securities lending agencies, depositories, custodians, central trade reporting system, registrars of
qualified buyers and other securities-related organizations and participants.
5. Provide legal advice to the technical staff to ensure compliance with securities laws and regulatory
requirements in relation to the supervision of brokers, dealers, government securities eligible dealers,
associated persons and salespersons of brokers dealers, transfer agents, investment houses, investment
company advisers, mutual fund distributors, compliance officers and certified investment solicitors of
investment company advisers, mutual fund distributors, compliance officers and certified investment
solicitors of investment company advisers/mutual fund distributors, and other securities market participants.
6. Represent the office on matters regarding legal and regulatory issues with other offices, SROs, securities
associations and other domestic and foreign agencies.
7. Review for legal accuracy show cause orders, assessment letters and recommendations for imposition of
penalties for non-compliance with the rules and regulations implemented by the Department.
8. Perform such other functions as may be directed by the SEC Assistant Director/ Director.
SEC ACCOUNTING SPECIALIST I
Salary Grade 13

Place of Assignment
 Markets and Securities Regulation Department – Securities Registration Division (C-1a-12-2013)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Accountancy
 Finance
 Financial Management
 Business Administration
 Economics
 Mathematics
 And other related courses
 Experience
o 1 year relevant/related experience in accounting or auditing work preferably with experience
in taxation and information technology
 Training
o 8 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management and other learning and development interventions relevant to
the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description
The SEC Accounting Specialist I shall participate in policy formulation, rulemaking and market supervision, in
relation to registration of securities and supervision of issuers of securities.

The SEC Accounting Specialist I shall also perform the following functions:

1. Review applications for registration of securities and for exemption from registration, such as but not limited
to, equity securities, bonds, commercial papers issued by issuer of registered equity and bond, real estate
investment trust and other alternative investment products.
2. Monitor the compliance by the issuers of securities with legal and regulatory requirements.
3. Develop registration processes, audit strategies, programs, plans, procedures, methodologies, checklist
templates and determine staffing requirements for the audit and monitoring of regulated entities.
4. Conduct onsite and offsite audit of regulated entities.
5. Review periodic reports submitted by regulated entities and report findings to the Director/Assistant
Director for further instructions or actions to be taken;
6. Prepare reports and recommendations to the Director/Assistant Director of any infractions or violations
committed by regulated entities of rules and regulations enforced by the Commission.
7. Prepare show cause orders, corrective action or sanction letters for non-compliance with legal and
regulatory requirements as may be instructed by the Director/Assistant Director.
8. Prepare responses to requests for comment, opinion, information and questionnaires regarding regulated
entities as may be instructed by the Director/Assistant Director, including request for comments on
applications for registration of Articles of Incorporation, By-Laws, any amendment thereto, securities
registration and other corporate applications of regulated entities.
9. Compile capital market related data and statistical reports relating to regulated entities, and conduct
empirical analysis research thereon using appropriate mathematical models and statistical techniques.
10. Provide public advisory assistance, as well as respond to written, telephone and walk-in queries.
11. Perform other functions as may be directed by the Director/Assistant Director.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Markets and Securities Regulation Department – Markets and Intermediaries Division (C-1b-3)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall participate in the day-to-day legal work and tasks of the division, including
interpretation of laws and rules, and review of exemptive relief, in relation to supervision of securities markets,
market institutions and market professionals

The Securities Counsel II shall also perform the following functions:

1. Be in charge of interpretation of laws and rules, and review of exemptive relief, in relation to supervision of
securities markets, market institutions and market professionals.
2. Participate in the review of the regulatory framework of the securities industry, conduct legal studies on
capital markets and recommend reforms where appropriate for policy formulation.
3. Participate in conducting onsite and offsite regulatory compliance audit of regulated entities.
4. Provide legal advice in the supervision of securities markets such as exchanges, alternative trading
systems, over-the-counter markets and other trading markets, self-regulatory organizations, clearing
agencies, securities lending agencies, depositories, custodians, central trade reporting system, registrars of
qualified buyers and other securities-related organizations and participants.
5. Provide legal advice to the technical staff to ensure compliance with securities laws and regulatory
requirements in relation to the supervision of brokers, dealers, government securities eligible dealers,
associated persons and salespersons of brokers dealers, transfer agents, investment houses, investment
company advisers, mutual fund distributors, compliance officers and certified investment solicitors of
investment company advisers/mutual fund distributors, and other securities market participants.
6. Represent the office on matters regarding legal and regulatory issues with other offices, SROs, securities
associations and other domestic and foreign agencies.
7. Perform such other functions as may be directed by the SEC Assistant Director/ Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Markets and Securities Regulation Department – Markets and Intermediaries Division (C-1b-10)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Provide technical assistance to the work program of the office.

2. Provide administrative support to the operations of the office.
3. Maintain the Assistant Director’s appointment schedule;
4. Receive office correspondences and documents and endorse the same to appropriate officers.
5. Make and answer phone calls, respond to emails and other messages of the Assistant Director and the
office.
6. Maintain the files, records and correspondences of the office;
7. Prepare letters, reports, documents, emails, messages and other communications of the office.
8. Provide public advisory assistance.
9. Perform other functions as may be directed by the Assistant Director.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Markets and Securities Regulation Department – Investment Products and Services Division (C-1c-
12-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall participate in policy formulation, rulemaking and market supervision, in
relation to registration of securities markets, market institutions, and proposed regulatory frameworks.

The Securities Counsel II shall also perform the following functions:

1. Be in charge of rulemaking, interpretation of laws and rules, and review of exemptive relief, in relation to
registration of securities markets, market institutions, and proposed regulatory frameworks.
2. Participate in the review of the regulatory framework of the securities industry, conduct legal studies on
capital markets and recommend reforms where appropriate for policy formulation.
3. Provide legal advice in the supervision of securities markets such as exchanges, alternative trading
systems, over-the-counter markets and other trading markets, self-regulatory organizations, clearing
agencies, securities lending agencies, depositories, custodians, central trade reporting system, registrars of
qualified buyers and other securities-related organizations and participants.
4. Provide legal advice to the technical staff to ensure compliance with securities laws and regulatory
requirements in relation to the supervision of brokers, dealers, government securities eligible dealers,
associated persons and salespersons of brokers dealers, transfer agents, investment houses, investment
company advisers, mutual fund distributors, compliance officers and certified investment solicitors of
investment company advisers/mutual fund distributors, and other securities market participants.
5. Represent the office on matters regarding legal and regulatory issues with other offices, SROs, securities
associations and other domestic and foreign agencies.
6. Perform such other functions as may be directed by the SEC Assistant Director/ Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Markets and Securities Regulation Department – Investment Products and Services Division (C-1c-8)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Provide technical assistance to the work program of the office.

2. Provide administrative support to the operations of the office.
3. Maintain the Assistant Director’s appointment schedule;
4. Receive office correspondences and documents and endorse the same to appropriate officers.
5. Make and answer phone calls, respond to emails and other messages of the Assistant Director and the
office.
6. Maintain the files, records and correspondences of the office;
7. Prepare letters, reports, documents, emails, messages and other communications of the office.
8. Provide public advisory assistance.
9. Perform other functions as may be directed by the Assistant Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Corporate Governance & Finance Department – Licensing Division (C-2a-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and
 Bachelor's Degree in any of the following:
 Business
 Finance
 Economics
 Accountancy
 Public/Business Administration
 Information Technology
 Psychology
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 5 years relevant/related experience; 4 years of which must be in a supervisory/ management
experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related leadership trainings; and other learning and development interventions
relevant to the functions of the position
Job Description

The SEC Assistant Director shall perform the following functions:

1. Oversee all activities of the division and reviews all written output of the division before forwarding it to the
SEC Director.
2. Develop all procedures related to applications filed before the Department for matters within the jurisdiction
of the division. This includes, among others, processes for applications, registrations, general oversight,
inspections, and suspensions or revocations.
3. Direct staff in processing applications/requests from covered institutions. Ensure that internal procedures
and standards are met in issuing or denying an application/request.
4. Direct staff in the monitoring and supervision of covered institutions to ensure their compliance with legal
and regulatory requirements. Assist in determining which matters should be endorsed to the Enforcement and
Investors Protection Department and/or other departments.
5. Assist the SEC Director in the drafting, development and approval of rules, regulations, guidelines and
policies for the effective monitoring and supervision of the various entities under the jurisdiction of the
Department.
6. Assist the SEC Director as necessary in seeking approvals from the SEC En Banc, SEC
Chairperson/Commissioners and/or in the preparation of annual budget.
7. Conceive and design, with the aid of system developers, system enhancements and new systems which will
improve accuracy of functions performed within the Department.
8. Perform such other functions as may be directed by the SEC Director/SEC Chairperson/SEC
Commissioners.
SEC CHIEF COUNSEL
Salary Grade 23

Place of Assignment
 Corporate Governance & Finance Department – Licensing Division (C-2a-2)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 4 years relevant/related experience in any or combination of the following: legal research and
counselling, litigation, advocacy, investigation, drafting of pleadings, contracts, decisions,
opinions, corporate documents, processing of corporate documents, relating to corporate
sector and capital market. Experience in policy formulation, rule making and market
supervision relating to the capital markets is preferred; and
o 2 years of supervisory/ management work experience
 Training
o 64 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o RA 1080 (BAR)

Job Description
The SEC Chief Counsel shall perform the following functions:

1. Work under the direction and supervision of the head of Division.

2. Provide legal advice to the SEC Assistant Director and the staff.
3. Manage the day-to-day legal work and tasks of the Division, including, among others, all legal issues,
interpretations, exemptive relief, and rule-making.
4. Review all work of the Division to determine its legal accuracy and sufficiency to ensure compliance with
existing laws and regulations.
5. Represent the Division/Department on matters regarding legal and regulatory issues with the SEC’s Office
of General Counsel and other departments, securities associations and other domestic and foreign
government agencies.
6. Participate in Senate and Congressional hearings on proposed bills affecting the Division/Department.
7. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-2b-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Business
 Finance
 Economics
 Accountancy
 Public/Business Administration
 Information Technology
 Psychology
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 5 years relevant/related experience; 4 years of which must be in a supervisory/ management
experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related leadership trainings; and other learning and development interventions
relevant to the functions of the position
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
Job Description

The SEC Assistant Director shall perform the following functions:

1. Oversee all activities of the division and reviews all written output of the division before forwarding it to the
SEC Director.
2. Develop all procedures related to applications filed before the Department for matters within the jurisdiction
of the division. This includes, among others, processes for applications, registrations, general oversight,
inspections, and suspensions or revocations.
3. Direct staff in processing applications/requests from covered institutions. Ensure that internal procedures
and standards are met in issuing or denying an application/request.
4. Direct staff in the monitoring and supervision of covered institutions to ensure their compliance with legal
and regulatory requirements. Assist in determining which matters should be endorsed to the Enforcement and
Investors Protection Department and/or other departments.
5. Assist the SEC Director in the drafting, development and approval of rules, regulations, guidelines and
policies for the effective monitoring and supervision of the various entities under the jurisdiction of the
Department.
6. Assist the SEC Director as necessary in seeking approvals from the SEC En Banc, SEC
Chairperson/Commissioners and/or in the preparation of annual budget.
7. Conceive and design, with the aid of system developers, system enhancements and new systems which will
improve accuracy of functions performed within the Department.
8. Perform such other functions as may be directed by the SEC Director/SEC Chairperson/SEC
Commissioners.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Corporate Governance and Finance Department – Corporate Governance Division (C-2c-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Business
 Finance
 Economics
 Accountancy
 Public/Business Administration
 Information Technology
 Psychology
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 5 years relevant/related experience; 4 years of which must be in a supervisory/ management
experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related leadership trainings; and other learning and development interventions
relevant to the functions of the position
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
Job Description

The SEC Assistant Director shall perform the following functions:

1. Oversee all activities of the division and reviews all written output of the division before forwarding it to the
SEC Director.
2. Develop all procedures related to applications filed before the Department for matters within the jurisdiction
of the division. This includes, among others, processes for applications, registrations, general oversight,
inspections, and suspensions or revocations.
3. Direct staff in processing applications/requests from covered institutions. Ensure that internal procedures
and standards are met in issuing or denying an application/request.
4. Direct staff in the monitoring and supervision of covered institutions to ensure their compliance with legal
and regulatory requirements. Assist in determining which matters should be endorsed to the Enforcement and
Investors Protection Department and/or other departments.
5. Assist the SEC Director in the drafting, development and approval of rules, regulations, guidelines and
policies for the effective monitoring and supervision of the various entities under the jurisdiction of the
Department.
6. Assist the SEC Director as necessary in seeking approvals from the SEC En Banc, SEC
Chairperson/Commissioners and/or in the preparation of annual budget.
7. Conceive and design, with the aid of system developers, system enhancements and new systems which will
improve accuracy of functions performed within the Department.
8. Perform such other functions as may be directed by the SEC Director/SEC Chairperson/SEC
Commissioners.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Corporate Governance and Finance Department – Licensing Division (C-2a-12-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Assist the Chief Counsel by researching on or analyzing legal issues involving the work of the department
and as directed by the SEC Assistant Director/SEC Director.
2. Responsible for providing legal advice, interpretations, assistance and analysis on matters assigned by
his/her supervisor. Provide comments on applications, requests and other filings made by covered
institutions. Coordinate work with department Securities Specialists and Examiners.
3. Perform legal analysis and prepare memoranda on legal matters relevant to the department.
4. Prepare interpretations of rules and Department policies.
5. Render legal advice to staff of the Department on regulatory issues impacting the Department involving
investigations, enforcement-recommendations, enforcement actions, settlements, litigation, administrative
hearings, sanctions, appeals, and procedures.
6. Coordinate with the other Departments of the Commission regarding legal issues.
7. Act as hearing officer in actions for suspension/revocation of covered institutions registration and or permit
to sell/offer securities.
8. Represent the Division/Department’s Chief Counsel/s on matters regarding legal and regulatory issues with
the SEC’s Office of General Counsel and other departments, SROs, securities associations and other domestic
and foreign government agencies.
9. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director.
SECURITIES COUNSEL I
Salary Grade 19

Place of Assignment
 Corporate Governance and Finance Department – Licensing Division (C-2a-14-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o Not required
 Training
o 32 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel I shall perform the following functions:

1. Assist the Securities Counsel II in researching on or analyzing legal issues involving the work of the
department and as directed by the SEC Assistant Director/SEC Director.
2. Responsible for providing legal advice, interpretations, assistance and analysis on matters assigned by
his/her supervisor. He/she provide comments on applications, requests and other filings made by covered
institutions. Coordinate work with department Securities Specialists and Examiners.
3. Perform legal analysis and prepare memoranda on legal matters relevant to the department.
4. Prepare interpretations of rules and Department policies.
5. Render legal advice to staff of the Department on regulatory issues impacting the Department involving
investigations, enforcement-recommendations, enforcement actions, settlements, litigation, administrative
hearings, sanctions, appeals, and procedures.
6. Coordinate with the other Departments of the Commission regarding legal issues.
7. Act as hearing officer in actions for suspension/revocation of covered institutions registration and or permit
to sell/offer securities
SECURITIES SPECIALIST II
Salary Grade 18

Place of Assignment
 Corporate Governance and Finance Department – Licensing Division (C-2a-15-2017)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Accountancy
 Finance
 Business Administration
 Statistics
 Economics
 Mathematics
 Social/Behavioral Sciences
 And other social sciences courses and other related disciplines
 Experience
o 2 years relevant/related experience preferably in policy formulation, rule making and
market supervision relating to the capital markets
 Training
o 24 hours training in any or combination of the following: securities law, capital markets,
corporation law, general management and other learning and development interventions
relevant to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist II shall perform the following functions:

1. Assist the Securities Specialist III in the monitoring of compliance of covered institutions and in adopting
measures to ensure their compliance with legal and regulatory requirements.
2. Process applications/requests of covered institutions. Refer potential denials to SEC Assistant Director for
further instructions on action to be taken.
3. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to covered institution file. Notify
SEC Assistant Director of suspected violations.
4. Prepare show cause orders, corrective action or sanction letters for non-compliance with legal and
regulatory requirements as may be instructed by the SEC Assistant Director and coordinates with other
departments of the Commission. Perform follow-up work as necessary.
5. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion report to SEC Assistant Director on results of inspections.
6. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violation to SEC Assistant Director.
7. Provide assistance, as well as respond to written, telephone and walk-in queries.
8. Process complaints filed against covered institutions.
9. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SECURITIES SPECIALIST II
Salary Grade 18

Place of Assignment
 Corporate Governance and Finance Department – Licensing Division (C-2a-4)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Accountancy
 Finance
 Business Administration
 Statistics
 Economics
 Mathematics
 Social/Behavioral Sciences
 And other social sciences courses and other related disciplines
 Experience
o 2 years relevant/related experience preferably in policy formulation, rule making and
market supervision relating to the capital markets
 Training
o 24 hours training in any or combination of the following: securities law, capital markets,
corporation law, general management and other learning and development interventions
relevant to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist II shall perform the following functions:

1. Assist the Securities Specialist III in the monitoring of compliance of covered institutions and in adopting
measures to ensure their compliance with legal and regulatory requirements.
2. Process applications/requests of covered institutions. Refer potential denials to SEC Assistant Director for
further instructions on action to be taken.
3. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to covered institution file. Notify
SEC Assistant Director of suspected violations.
4. Prepare show cause orders, corrective action or sanction letters for non-compliance with legal and
regulatory requirements as may be instructed by the SEC Assistant Director and coordinates with other
departments of the Commission. Perform follow-up work as necessary.
5. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion report to SEC Assistant Director on results of inspections.
6. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violation to SEC Assistant Director.
7. Provide assistance, as well as respond to written, telephone and walk-in queries.
8. Process complaints filed against covered institutions.
9. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Corporate Governance and Finance Department – Licensing Division (C-2c-8)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
o Accountancy
o Finance
o Business Administration
o Statistics
o Economics
o Mathematics
o Social/Behavioral Sciences
o And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist I shall perform the following functions:

1. Assist the Securities Specialist III and Securities Specialist II in the monitoring of compliance of covered
institutions and in adopting measures to ensure their compliance with legal and regulatory requirements.
2. Process applications/requests of covered institutions. Refer potential denials to SEC Assistant Director for
further instructions on action to be taken.
3. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to covered institutions on file.
Notify SEC Assistant Director of suspected violations.
4. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion of a report to the SEC Assistant Director on results of inspections.
5. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violation to SEC Assistant Director.
6. Provide assistance, as well as respond to written, telephone and walk-in queries.
7. Process complaints filed against covered institutions.
8. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Corporate Governance and Finance Department – Licensing Division (C-2a-22-2017)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Prepare certain basic documents or other materials for presentation/study as needed with
guidance/supervision and review by attorneys, investigators, examiners, specialists and analysts.
2. Maintain and encode the files, records, and correspondence of the division. Follow SEC standards in filing
the documents. Update any logs or records about where and how the documents are filed. Produce reports
on documents filed, as appropriate.
3. Deliver and mail all correspondence from the division/department.
4. Prepare the monthly accomplishment report of the division.
5. Collate and ensure safekeeping of documents (hard copy and electronic) prepared in the course of
processing within the division.
6. Prepare simple letters, memoranda, reports and other documents needed by the division.
7. Record all proceedings and file the records per established SEC procedures.
8. Assist SEC Assistant Director in performance of the functions of the division.
9. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (E-1a-3)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Assist the Chief Counsel by researching on or analyzing legal issues involving the work of the department
and as directed by the SEC Assistant Director/SEC Director.
2. Responsible for providing legal advice, interpretations, assistance and analysis on matters assigned by
his/her supervisor. Provide comments on applications, requests and other filings made by covered
institutions. Coordinate work with department Securities Specialists and Examiners.
3. Perform legal analysis and prepare memoranda on legal matters relevant to the department.
4. Prepare interpretations of rules and Department policies.
5. Render legal advice to staff of the Department on regulatory issues impacting the Department involving
investigations, enforcement-recommendations, enforcement actions, settlements, litigation, administrative
hearings, sanctions, appeals, and procedures.
6. Coordinate with the other Departments of the Commission regarding legal issues.
7. Act as hearing officer in actions for suspension/revocation of covered institutions registration and or permit
to sell/offer securities.
8. Represent the Division/Department’s Chief Counsel/s on matters regarding legal and regulatory issues with
the SEC’s Office of General Counsel and other departments, SROs, securities associations and other domestic
and foreign government agencies.
9. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director.
SECURITIES EXAMINER III
Salary Grade 20

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-2b-12-2017)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Accountancy
 Finance
 Business
 Economics
 Mathematics
 And other related disciplines
 Experience
o 3 years relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets
 Training
o 40 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position, and other learning and development
interventions
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Examiner III shall perform the following functions:

1. Assist the Supervising Securities Examiner in overseeing the examinations of covered institutions and
adopt measures to ensure their compliance with legal and regulatory requirements.
2. Perform routine examinations of covered institutions to ensure supervision, regulation and monitoring
compliance with SEC regulations. Include review of organization’s activities and financial records. Prepare
report on results of examinations, including any compliance failures found to the Supervising Securities
Examiner.
3. Perform examinations “for cause” as assigned by the SEC Assistant Director. Prepare immediate report on
results.
4. Investigate and report on results of examinations, including any compliance failures found.
5. Prepare show cause orders, corrective action or sanction letters for non-compliance with legal and
regulatory requirements as may be instructed by the SEC Assistant Director and coordinated with other
departments of the Commission. Perform follow-up work as necessary.
6. Provide assistance, as well as respond to written, telephone and walk-in queries.
7. Process complaints filed against covered institutions.
8. Perform other related duties as may be directed by the SEC Assistant Director/SEC Director.
SECURITIES SPECIALIST II
Salary Grade 18

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-2b-4)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Accountancy
 Finance
 Business Administration
 Statistics
 Economics
 Mathematics
 Social/Behavioral Sciences
 And other social sciences courses and other related disciplines
 Experience
o 2 years relevant/related experience preferably in policy formulation, rule making and
market supervision relating to the capital markets
 Training
o 24 hours training in any or combination of the following: securities law, capital markets,
corporation law, general management and other learning and development interventions
relevant to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist II shall perform the following functions:

1. Assist the Securities Specialist III in the monitoring of compliance of covered institutions and in adopting
measures to ensure their compliance with legal and regulatory requirements.
2. Process applications/requests of covered institutions. Refer potential denials to SEC Assistant Director for
further instructions on action to be taken.
3. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to covered institution file. Notify
SEC Assistant Director of suspected violations.
4. Prepare show cause orders, corrective action or sanction letters for non-compliance with legal and
regulatory requirements as may be instructed by the SEC Assistant Director and coordinates with other
departments of the Commission. Perform follow-up work as necessary.
5. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion report to SEC Assistant Director on results of inspections.
6. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violation to SEC Assistant Director.
7. Provide assistance, as well as respond to written, telephone and walk-in queries.
8. Process complaints filed against covered institutions.
9. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.

SECURITIES EXAMINER I
Salary Grade 18

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (E-1a-12)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Accountancy
 Finance
 Business
 Economics
 Mathematics
 And other related disciplines
 Experience
o 2 year experience relevant/ related to the job preferably in policy formulation, rule making
and market supervision relating to the capital markets
 Training
o 24 hours relevant/related training in any or combination of the following: securities law,
capital markets, corporation law, general management, and other learning development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Professional) Second Level Eligibility; RA 1080 as applicable

Job Description

The Securities Examiner I shall perform the following functions:

1. Assist the Securities Examiner III and Securities Examiner II in the examination of covered institutions and
in proposing measures to ensure their compliance with legal and regulatory requirements.
2. Perform routine examinations of all covered institutions to ensure organization’s compliance with SEC
regulations. Include review of organization’s activities and financial records. Prepare report on results of
examinations, including any compliance failures found.
3. Perform examinations “for cause” as assigned by the SEC Assistant Director. Prepare immediate report on
results.
4. Investigate and report on results of examinations, including any compliance failures found.
5. Prepare show cause orders, corrective action or sanction letters for non-compliance with legal and
regulatory requirements as may be instructed by the SEC Assistant Director and coordinate with other
departments of the Commission. Perform follow-up work as necessary.
6. Provide assistance, as well as respond to written, telephone and walk-in queries.
7. Process complaints filed against covered institutions.
8. Perform other related duties as may be directed by the SEC Assistant Director/SEC Director.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-2b-17-2017)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
o Accountancy
o Finance
o Business Administration
o Statistics
o Economics
o Mathematics
o Social/Behavioral Sciences
o And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist I shall perform the following functions:

1. Assist the Securities Specialist III and Securities Specialist II in the monitoring of compliance of covered
institutions and in adopting measures to ensure their compliance with legal and regulatory requirements.
2. Process applications/requests of covered institutions. Refer potential denials to SEC Assistant Director for
further instructions on action to be taken.
3. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to covered institutions on file.
Notify SEC Assistant Director of suspected violations.
4. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion of a report to the SEC Assistant Director on results of inspections.
5. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violation to SEC Assistant Director.
6. Provide assistance, as well as respond to written, telephone and walk-in queries.
7. Process complaints filed against covered institutions.
8. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-2b-6)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
o Accountancy
o Finance
o Business Administration
o Statistics
o Economics
o Mathematics
o Social/Behavioral Sciences
o And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist I shall perform the following functions:

1. Assist the Securities Specialist III and Securities Specialist II in the monitoring of compliance of covered
institutions and in adopting measures to ensure their compliance with legal and regulatory requirements.
2. Process applications/requests of covered institutions. Refer potential denials to SEC Assistant Director for
further instructions on action to be taken.
3. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to covered institutions on file.
Notify SEC Assistant Director of suspected violations.
4. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion of a report to the SEC Assistant Director on results of inspections.
5. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violation to SEC Assistant Director.
6. Provide assistance, as well as respond to written, telephone and walk-in queries.
7. Process complaints filed against covered institutions.
8. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-2b-7)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
o Accountancy
o Finance
o Business Administration
o Statistics
o Economics
o Mathematics
o Social/Behavioral Sciences
o And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist I shall perform the following functions:

1. Assist the Securities Specialist III and Securities Specialist II in the monitoring of compliance of covered
institutions and in adopting measures to ensure their compliance with legal and regulatory requirements.
2. Process applications/requests of covered institutions. Refer potential denials to SEC Assistant Director for
further instructions on action to be taken.
3. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to covered institutions on file.
Notify SEC Assistant Director of suspected violations.
4. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion of a report to the SEC Assistant Director on results of inspections.
5. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violation to SEC Assistant Director.
6. Provide assistance, as well as respond to written, telephone and walk-in queries.
7. Process complaints filed against covered institutions.
8. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-2c-9)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Accountancy
 Finance
 Business Administration
 Statistics
 Economics
 Mathematics
 Social/Behavioral Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist I shall perform the following functions:

1. Assist the Securities Specialist III and Securities Specialist II in the monitoring of compliance of covered
institutions and in adopting measures to ensure their compliance with legal and regulatory requirements.
2. Process applications/requests of covered institutions. Refer potential denials to SEC Assistant Director for
further instructions on action to be taken.
3. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to covered institutions on file.
Notify SEC Assistant Director of suspected violations.
4. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion of a report to the SEC Assistant Director on results of inspections.
5. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violation to SEC Assistant Director.
6. Provide assistance, as well as respond to written, telephone and walk-in queries.
7. Process complaints filed against covered institutions.
8. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SEC ACCOUNTING SPECIALIST I
Salary Grade 13

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-2b-10-2013)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Accountancy
 Finance
 Financial Management
 Business Administration
 Economics
 Mathematics
 And other related courses
 Experience
o 1 year relevant/related experience in accounting or auditing work preferably with experience
in taxation and information technology
 Training
o 8 hours relevant training on any of the following:
 Financial Accounting
 Auditing and Statutory compliance
 Taxation
 Information and Financial Systems
 Corporate Planning, Control and Treasury Management
 General Management and other learning and development interventions relevant to
the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Accounting Specialist I shall perform the following functions:

1. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to security/issuer file. Notify SEC
Assistant Director of suspected violations.
2. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion of a report to the SEC Assistant Director on results of inspections.
3. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violations to the SEC Assistant Director.
4. Perform such other functions as may be assigned by the SEC Supervising Specialist/SEC Assistant Director/
SEC Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-2b-8)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Prepare certain basic documents or other materials for presentation/study as needed with
guidance/supervision and review by attorneys, investigators, examiners, specialists and analysts.
2. Maintain and encode the files, records, and correspondence of the division. Follow SEC standards in filing
the documents. Update any logs or records about where and how the documents are filed. Produce reports
on documents filed, as appropriate.
3. Deliver and mail all correspondence from the division/department.
4. Prepare the monthly accomplishment report of the division.
5. Collate and ensure safekeeping of documents (hard copy and electronic) prepared in the course of
processing within the division.
6. Prepare simple letters, memoranda, reports and other documents needed by the division.
7. Record all proceedings and file the records per established SEC procedures.
8. Assist SEC Assistant Director in performance of the functions of the division.
9. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Corporate Governance and Finance Department – Monitoring Division (C-3c-10)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Prepare certain basic documents or other materials for presentation/study as needed with
guidance/supervision and review by attorneys, investigators, examiners, specialists and analysts.
2. Maintain and encode the files, records, and correspondence of the division. Follow SEC standards in filing
the documents. Update any logs or records about where and how the documents are filed. Produce reports
on documents filed, as appropriate.
3. Deliver and mail all correspondence from the division/department.
4. Prepare the monthly accomplishment report of the division.
5. Collate and ensure safekeeping of documents (hard copy and electronic) prepared in the course of
processing within the division.
6. Prepare simple letters, memoranda, reports and other documents needed by the division.
7. Record all proceedings and file the records per established SEC procedures.
8. Assist SEC Assistant Director in performance of the functions of the division.
9. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Corporate Governance and Finance Department – Corporate Governance Division (C-2c-6)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
o Accountancy
o Finance
o Business Administration
o Statistics
o Economics
o Mathematics
o Social/Behavioral Sciences
o And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist I shall perform the following functions:

1. Assist the Securities Specialist III and Securities Specialist II in the monitoring of compliance of covered
institutions and in adopting measures to ensure their compliance with legal and regulatory requirements.
2. Process applications/requests of covered institutions. Refer potential denials to SEC Assistant Director for
further instructions on action to be taken.
3. Perform routine monitoring functions to ensure continued compliance by covered institutions. Research
complaints against covered institutions. Document monitoring and research to covered institutions on file.
Notify SEC Assistant Director of suspected violations.
4. Assist in the performance of inspections (routine or for cause) of covered institutions as assigned by SEC
Assistant Director. Assist in the completion of a report to the SEC Assistant Director on results of inspections.
5. Review reports and other materials filed by covered institutions. Perform general market research.
Incorporate information into daily monitoring functions and/or inspections. Report unusual information that
may lead to violation to SEC Assistant Director.
6. Provide assistance, as well as respond to written, telephone and walk-in queries.
7. Process complaints filed against covered institutions.
8. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SEC DIRECTOR III
Salary Grade 27

Place of Assignment
 Company Registration and Monitoring Department – Office of the Director (D-1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 7 years relevant/related experience; 5 years of which must be in a supervisory/ management
work experience
 Training
o 120 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders:
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program; and
 Other related supervisory/ management Learning and Development intervention
 Technical training on auditing, budgeting, financial management and relevant
training
 Eligibility
o Career Executive Service (CES) Eligibility/ Career Service Executive Eligible (CSEE)
o Third Level Eligibility
o RA 1080 (BAR)

Job Description

The SEC Director III shall perform the following functions:

1. Oversee the review and approval of all corporate registrations (i.e. partnerships, domestic and foreign
corporations) and amendments (i.e. Increase of Authorized Capital Stock, Amendments of Articles of
Incorporation and By-laws, applications for Amendment of License to do business in the Philippines and
Amendment of Partnerships).
2. Review Order Re: Petition for Change of Name, Correction, Revocation on the Ground of Fraud in the
Procurement of Articles of Incorporation and By-laws, continues non-submission of reportorial requirements
et. Al.
3. Monitor compliance of foreign corporations and domestic corporations, which are not listed in the stock
exchange and without secondary licenses, with the provisions of the Corporation Code and other laws, rules
and regulations being enforced by the Commission. In the event of any violation thereof, impose the
appropriate penalty in accordance with the applicable laws, rules and regulations.
4. Approve and issue copies of corporate records based on the official files in custody of SEC as requested
by other government agencies.
5. Present applications for licensing of Capital Market Professionals, applications requiring secondary license
from SEC, and Petitions to Lift Order of Suspension/Revocation for the Commission En Banc’s approval.
6. Oversee, control and supervise all administrative activities of the Department.
7. Review and approved letters and memorandums.
8. Attend meetings, conferences, hearings and other forums whenever necessary.
9. Perform such other functions as may be directed by the Chairperson and Commissioners.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Company Registration and Monitoring Department – Financial Analysis and Audit Division (D-1c-1)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 5 years relevant/related experience in accounting position; 4 years of which must be in a
supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
o Strategic Planning and Management;
o Managerial Leadership;
o Strategic and Critical Thinking;
o Strategic Decision-Making;
o Coaching and Mentoring for Leaders;
o Stress Management;
o Change Management;
o Monitoring and Evaluation/Results-Based Monitoring;
o Risk Management;
o Knowledge Management for Leaders;
o Project Development and Management and Monitoring;
o Performance and Results Management;
o Leadership Series;
o 7 Habits of Highly Effective Government Leaders;
o Managers Role in Capacity Building;
o Succession Management;
o Supervisory Development Course/Program; and
o Other related Leadership trainings; and
o Other related supervisory/ management Learning and Development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (CPA)

Job Description

The SEC Assistant Director shall perform the following functions:

1. Oversee the procedure related to the corporate reorganization

2. Direct staff in processing applications. Ensure that internal procedures and guidelines are met in
accordance to standards.
3. Review/Approve for payment application for increase/decrease of Authorized Capital Stock, equity
restructuring, quasi re-organization, Mergers and Consolidation, Confirmation of Valuation,
Reclassification/Declassification/Conversion of Shares/Change in par value, Creation of additional paid-in
capital, property dividend declaration, Licensing of a Branch and Representative Office, Articles of
Incorporation other than cash and Withdrawal of License.
4. Approve Certificate of Paid-up capital, Capital structure, Percentage of Ownership and Partners
Contribution.
5. Review and/or prepare response letters and memorandums necessary for the Division.
6. Attend as a resource person/ speaker for public seminars pertaining to functions/process of the Division.
7. Perform such functions as may be directed by the Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Company Registration and Monitoring Department – Corporate Filing and Records Division (D-1d-1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 5 years relevant/related experience; 4 years of which must be in a supervisory/ management
work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and
 Other related supervisory/ management Learning and Development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (BAR)

Job Description

The SEC Assistant Director shall perform the following functions:

1. Develop procedure and standards for both electronic and paper copy records. Ensure the official records
and its availability upon request.
2. Approve certification of No Derogatory Information/Good Standing, Corporate Status and/or Registration
and Reverse Search for individual
3. Review and sign certified true copies of registration of Articles of Partnerships/Incorporation, By-laws,
Amendments and/or reorganizations, General Information Sheet (GIS) and Audited Financial Statements (AFS)
as requested by other government agencies or to use as duces tecum.
4. Help and/or assist the Director in reviewing letters, memorandums, cases, etc.
5. Attend meetings, conferences, hearings and other forums whenever necessary.
6. Perform such other functions as may be directed by the Chairperson/Commissioners/Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Company Registration and Monitoring Department – Compliance Monitoring Division (D-1b-1)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 5 years relevant/related experience; 4 years of which must be in a supervisory/ management
work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and
 Other related supervisory/ management Learning and Development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (CPA)

Job Description

The SEC Assistant Director shall perform the following functions:

1. Develop and supervise all monitoring application procedure. This includes compliance of corporations to
the Corporation Code of the Philippines and existing guidelines, procedures and laws.
2. Assist the Director in reviewing draft letters, memos, cases, orders, etc. pertaining to the function of the
division.
3. Review list of corporations subject for issuance of suspension order before publication.
4. Review and sign the issuance of Confirmation of Payment of Fines (COPF) and Notices of Hearing and
Deficiency (NOHD).
5. Represent the Department/Division regarding legal and regulatory issues.
6. Attend as a resource speaker/person to conferences, hearings, seminars, etc.
7. Perform such other functions as may be instructed by the Director.
SEC CONFIDENTIAL ASSISTANT III
Salary Grade 13

Place of Assignment
 Company Registration and Monitoring Department – Office of the Director (D-1a)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in office management
 Training
o 8 training hours relevant to the job and other learning and development interventions relevant
to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Confidential Assistant III shall perform the following functions:

1. Maintain the Director's appointment schedule and handle arrangements and/or coordination as necessary.
2. Receive all incoming documents for the Department.
3. Prepare response to letters, memorandums and electronic mails.
4. Ensure receiving copies of documents and other confidential records to be appropriately filed.
5. Answer departmental telephones, take messages, and direct calls.
6. Perform such other functions as may be instructed by the Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Company Registration and Monitoring Department – Office of the Director (D-1b)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Prepare monthly report of the Department and provide statistical data and other relevant inputs necessary
for the day-to-day operations.
2. Prepare response to letters, memorandums and electronic mails.
3. Ensure log of all letters, memorandums and cases .
4. Log in and out of all certificates for registration of partnerships and corporate entities and amendment
applications for signing of the Director.
5. Answer departmental telephones, take messages, and direct calls.
6. Perform such other functions as may be instructed by the Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Company Registration and Monitoring Department – Corporate and Partnership Registration
Division
(D-1a-1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 5 years relevant/related experience; 4 years of which must be in a supervisory/ management
work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and
 Other related supervisory/ management Learning and Development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (BAR)
Job Description

The SEC Assistant Director shall perform the following functions:

1. Assist the Director to the review of all corporate registrations (i.e. domestic and foreign corporations) and
amendments (i.e. Amendments of Articles of Incorporation/Partnerships and By-laws). .
2. Review Order Re: Petition for Change of Name or Petition for Correction.
3. Review draft letters and memorandums necessary for the Division.
4. Direct staff in supervision of registration of corporations to ensure their compliance with internal
procedures and guidelines.
5. Perform such functions as may be directed by the Director.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Company Registration and Monitoring Department – Corporate and Partnership Registration
Division
(D-1a-12)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Accountancy
 Finance
 Business Administration
 Statistics
 Economics
 Mathematics
 Social/Behavioral Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist I, II shall perform the following functions:

1. Process and review application for registration and amendment of domestic and foreign corporations
submitted to ensure that they meet all the requirements and are complete.
2. Handle simple letters and memorandum and prepares response.
3. Attend as a resource person/speaker for public seminars pertaining to the function/processes of the
division.
4. Perform such functions as may be directed by the Assistant Director and/or Director.
SECURITIES FINANCIAL SPECIALIST II
Salary Grade 18

Place of Assignment
 Company Registration and Monitoring Department – Financial Analysis & Audit Division (D-1c-4)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 2 years relevant/related experience in the interpretation of accounting standards, process of
corporate reorganization, capital market and corporate sector-related studies and policy
researches
 Training
o 24 hours relevant training and other learning and development interventions relevant to the
functions of the position
 Eligibility
o RA 1080 (CPA)

Job Description

The Securities Financial Specialist II shall perform the following functions:

1. Process and evaluate complex applications such as: increase/decrease of Authorized Capital Stock,
Mergers and Consolidation, equity restructuring, quasi re-organization, Confirmation of Valuation,
Reclassification/Declassification/Conversion of Shares/Change in par value, Creation of additional paid-in
capital, property dividend declaration, Licensing of a Branch and Representative Office, Articles of
Incorporation other than cash and Withdrawal of License.
2. Prepare response to the letters and memorandums necessary for the Division.
3. Attend as a resource speaker/person to seminars and conferences.
4. Perform such functions as may be directed by the Assistant Director and/or Director.
SECURITIES FINANCIAL SPECIALIST II
Salary Grade 18

Place of Assignment
 Company Registration and Monitoring Department – Financial Analysis & Audit Division (D-1c-7)

Qualification Standards
 Education
o Bachelor's Degree in Accountancy
 Experience
o 2 years relevant/related experience in the interpretation of accounting standards, process of
corporate reorganization, capital market and corporate sector-related studies and policy
researches
 Training
o 24 hours relevant training and other learning and development interventions relevant to the
functions of the position
 Eligibility
o RA 1080 (CPA)

Job Description

The Securities Financial Specialist II shall perform the following functions:

1. Process and evaluate complex applications such as: increase/decrease of Authorized Capital Stock,
Mergers and Consolidation, equity restructuring, quasi re-organization, Confirmation of Valuation,
Reclassification/Declassification/Conversion of Shares/Change in par value, Creation of additional paid-in
capital, property dividend declaration, Licensing of a Branch and Representative Office, Articles of
Incorporation other than cash and Withdrawal of License.
2. Prepare response to the letters and memorandums necessary for the Division.
3. Attend as a resource speaker/person to seminars and conferences.
4. Perform such functions as may be directed by the Assistant Director and/or Director.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Company Registration and Monitoring Department – Financial Analysis and Audit Division
(D-1c-21-2017)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Accountancy
 Finance
 Business Administration
 Statistics
 Economics
 Mathematics
 Social/Behavioral Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Company Registration and Monitoring Department – Corporate Filing & Records Division (D-1d-16-
2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Responsible for providing legal advice, assistance and analysis on the matters assigned by his/her
supervisor. Provide interpretation of rules of the Division.
2. Responsible for preparing and drafting legal works and tasks, including all legal issues, interpretations and
rule making.
3. Review and evaluate applications for petitions and prepare order in compliance to the existing laws and
guidelines.
4. Attend to case conferences and hearings.
5. Perform such other functions as may be instructed by the Assistant Director and Director.
SEC ADMINISTRATIVE OFFICER II
Salary Grade 14

Place of Assignment
 Company Registration and Monitoring Department – Corporate Filing & Records Division (D-1d-13)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Sociology
 Human Resources
 Psychology
 Management
 Economics
 Engineering
 Computer Science
 Accountancy
 Finance
 Mathematics
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records/ office management including electronic
records administration
 Training
o 16 hours relevant training in any or combination of the following: records management,
procurement law, CSC rules and regulations, general management, securities law, capital
markets, corporation law, and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Administrative Officer II shall perform the following functions:

1. Evaluate applications for monitoring of domestic (stock and non-stock) corporations with request for
certification of No Derogatory Information. Ensure that corporations are compliant with the submission of
reportorial requirements and existing laws.
2. Verify and encode incurred deficiencies of corporations to the CIS-URDB.
3. Validate and prepare Certificate of No Derogatory Information/Good Standing.
4. Encode receive amendments (stock, non-stock and foreign) to SEC Admin portal.
5. Receive CRS application and release once approved by the Commission.
6. Prepare response to letters and memorandum with simple concern.
7. Perform such functions as may be directed by the Assistant Director and/or Director.
SEC ADMINISTRATIVE OFFICER II
Salary Grade 14

Place of Assignment
 Company Registration and Monitoring Department – Corporate Filing & Records Division (D-1d-3)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Sociology
 Human Resources
 Psychology
 Management
 Economics
 Engineering
 Computer Science
 Accountancy
 Finance
 Mathematics
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records/ office management including electronic
records administration
 Training
o 16 hours relevant training in any or combination of the following: records management,
procurement law, CSC rules and regulations, general management, securities law, capital
markets, corporation law, and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description
The SEC Administrative Officer II shall perform the following functions:
1. Evaluate applications for monitoring of domestic (stock and non-stock) corporations with request for
certification of No Derogatory Information. Ensure that corporations are compliant with the submission of
reportorial requirements and existing laws.
2. Verify and encode incurred deficiencies of corporations to the CIS-URDB.
3. Validate and prepare Certificate of No Derogatory Information/Good Standing.
4. Encode receive amendments (stock, non-stock and foreign) to SEC Admin portal.
5. Receive CRS application and release once approved by the Commission.
6. Prepare response to letters and memorandum with simple concern.
7. Perform such functions as may be directed by the Assistant Director and/or Director.
SEC ADMINISTRATIVE OFFICER II
Salary Grade 14

Place of Assignment
 Company Registration and Monitoring Department – Corporate Filing & Records Division (D-1d-9)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Sociology
 Human Resources
 Psychology
 Management
 Economics
 Engineering
 Computer Science
 Accountancy
 Finance
 Mathematics
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records/ office management including electronic
records administration
 Training
o 16 hours relevant training in any or combination of the following: records management,
procurement law, CSC rules and regulations, general management, securities law, capital
markets, corporation law, and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Administrative Officer II shall perform the following functions:

1. Evaluate applications for monitoring of domestic (stock and non-stock) corporations with request for
certification of No Derogatory Information. Ensure that corporations are compliant with the submission of
reportorial requirements and existing laws.
2. Verify and encode incurred deficiencies of corporations to the CIS-URDB.
3. Validate and prepare Certificate of No Derogatory Information/Good Standing.
4. Encode receive amendments (stock, non-stock and foreign) to SEC Admin portal.
5. Receive CRS application and release once approved by the Commission.
6. Prepare response to letters and memorandum with simple concern.
7. Perform such functions as may be directed by the Assistant Director and/or Director.
SUPERVISING SECURITIES SPECIALIST
Salary Grade 22

Place of Assignment
 Company Registration and Monitoring Department – Compliance Monitoring Division (D-1b-11-2013)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Economics
 Business
 Finance
 Statistics
 Mathematics
 Engineering
 And other related disciplines
 Experience
o 4 years relevant/related experience preferably in the capital market industry, corporate sector
or government service; and
o 2 years of supervisory/ management work experience
 Training
o 60 hours relevant training and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Supervising Securities Specialist shall perform the following functions:

1. Work under the direction and supervision of the head of the Division.
2. Responsible for reviewing the Monitoring Sheet containing imposed penalties and fines.
3. Prepare draft letters and memos with simple concerns.
4. Provide advice regarding accounting standards.
5. Attend as a resource speaker/person to conferences, hearings, seminars, etc.
6. Perform such other functions as may be instructed by the Assistant Director and Director.
SECURITIES COUNSEL I
Salary Grade 19

Place of Assignment
 Company Registration and Monitoring Department – Compliance Monitoring Division (D-1b-8)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o Not required
 Training
o 32 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel I shall perform the following functions:

1. Process applications and prepare Order of Revocation on the Ground of continuous non-submission of
reportorial requirements and Petition of Lifting Suspension and/or Revocation.
2. Responsible for analysis on legal issues involving regulatory work and give legal advices to staff.
3. Draft response pertaining to legal works and tasks.
4. Attend as a resource speaker/person to conferences, hearings, seminars, etc.
5. Perform such other functions as may be instructed by the Assistant Director and Director.
SEC DIRECTOR III
Salary Grade 27

Place of Assignment
 Enforcement and Investor Protection Department – Office of the Director (E-1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 7 years relevant/related experience; 5 years of which must be in a supervisory/ management
work experience
 Training
o 120 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program; and
 Other related supervisory/management Learning and Development intervention
 Technical training on auditing, budgeting, financial management and relevant
training
 Eligibility
o Career Executive Service (CES) Eligibility/ Career Service Executive Eligible (CSEE)
o Third Level Eligibility
o RA 1080 (BAR)
SECURITIES SPECIALIST II
Salary Grade 18

Place of Assignment
 Enforcement and Investor Protection Department – Market Surveillance Division (C-3a-8)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Accountancy
 Finance
 Business Administration
 Statistics
 Economics
 Mathematics
 Social/Behavioral Sciences
 And other social sciences courses and other related disciplines
 Experience
o 2 years relevant/related experience preferably in policy formulation, rule making and
market supervision relating to the capital markets
 Training
o 24 hours training in any or combination of the following: securities law, capital markets,
corporation law, general management and other learning and development interventions
relevant to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist II shall perform the following functions:

1. Conduct compliance audits, risks assessments, and data analysis to determine compliance with securities
laws in connection with investigations conducted by the Division or the Department.
2. Perform routine surveillance functions to ensure continued compliance by covered institutions.
3. Review reports and other materials filed by covered institutions.
4. Prepare technical reports and study on the results of compliance audits and examinations.
5. Perform such other functions as may be directed by the Assistant Director and Director.
SECURITIES SPECIALIST II
Salary Grade 18

Place of Assignment
 Enforcement and Investor Protection Department – Market Surveillance Division (C-3b-3)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Accountancy
 Finance
 Business Administration
 Statistics
 Economics
 Mathematics
 Social/Behavioral Sciences
 And other social sciences courses and other related disciplines
 Experience
o 2 years relevant/related experience preferably in policy formulation, rule making and
market supervision relating to the capital markets
 Training
o 24 hours training in any or combination of the following: securities law, capital markets,
corporation law, general management and other learning and development interventions
relevant to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist II shall perform the following functions:

1. Conduct compliance audits, risks assessments, and data analysis to determine compliance with securities
laws in connection with investigations conducted by the Division or the Department.
2. Perform routine surveillance functions to ensure continued compliance by covered institutions.
3. Review reports and other materials filed by covered institutions.
4. Prepare technical reports and study on the results of compliance audits and examinations.
5. Perform such other functions as may be directed by the Assistant Director and Director.
SECURITIES SPECIALIST I
Salary Grade 17

Place of Assignment
 Enforcement and Investor Protection Department – Market Surveillance Division (C-3c-7)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Accountancy
 Finance
 Business Administration
 Statistics
 Economics
 Mathematics
 Social/Behavioral Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets, investor education
 Training
o 16 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Specialist I shall perform the following functions:

1. Assist the Securities Specialist II in the conduct of compliance audits, risks assessments, and data analysis
to determine compliance with securities laws in connection with investigations conducted by the Division or
the Department.
2. Perform routine surveillance functions to ensure continued compliance by covered institutions.
3. Review reports and other materials filed by covered institutions.
4. Prepare technical reports and study on the results of compliance audits and examinations.
5. Perform such other functions as may be directed by the Assistant Director and Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Enforcement and Investor Protection Department – Investigation & Prosecution Division (E-1b-1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 5 years relevant/related experience in accounting position; 4 years of which must be in a
supervisory/ management experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and
 Other related supervisory/management Learning and Development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (BAR)

Job Description
The SEC Assistant Director shall perform the following functions:

1. Assist the Director in planning, directing and supervising the operations of the Division to ensure that its
duties and functions are properly carried out.
2. Assist the Director in the preparation of Target Accomplishments, Major Final Output and Financial Plan
and the Annual Budget Proposal in support of said plan.
3. Assist the Director in ensuring the strict enforcement of policies, standards, rules and regulations governing
operations and personnel.
4. Develop all procedures related to Division activities such as investigations and enforcement actions and
methodologies for review of referrals, distribution of work assignments, conduct of inspections and
examinations, documentation of research and making recommendations for actions to be taken.
5. Determine work assignment allocations to staff, assign staff to investigations and review results of
inspections and surveillance operations.
6. Evaluate, review and approve the work outputs of Division staff.
7. Sign complaints, motions and other pleadings filed with the DOJ and/or the Courts.
8. Determine the training needs of Division personnel and make the appropriate recommendations thereon.
9. Assist the Director in preparing for and in representing the Department in Commission meetings, strategic
planning conferences, and in Budget Hearings, Congressional investigations or Public hearings involving
proposed changes in the laws being enforced by the Commission.
10. Perform such other functions as may be directed by the Director, Supervising Commissioner, SEC
Chairperson, or the Commission En Banc.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Enforcement and Investor Protection Department – Investigation and Prosecution Division (D-1a-7)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Investigate and hear cases assigned to him/her involving violations of the laws, rules and regulations being
implemented by the Commission.
2. Render legal advice to the staff of the Division on issues related to investigations, enforcement actions,
settlements, litigations, administrative hearings, sanctions, appeals and procedures.
3. Prepare show cause orders, corrective action or sanction letters for non-compliance with legal and
regulatory requirements of the Commission.
4. Perform legal research on issues relevant to the functions of the Department or the Division.
5. Interview witnesses and conduct conferences with the parties involved in cases being investigated by the
Division.
6. Prepare criminal complaints and other pleadings for filing before the DOJ or the courts involving violations
of the laws, rules and regulations being implemented by the Commission.
7. Plan and lead in the conduct of ocular inspections and surveillance operations.
8. Sign complaints, motions and pleadings for filing with the DOJ and/or the Courts.
9. Prepare written work output including investigation reports, affidavits, memoranda, order, resolutions,
decisions, and other issuances of the Department.
10. Assist the DOJ as Special Prosecutor in the prosecution of criminal cases involving violations of the laws,
rules and regulations being implemented by the Commission.
11. Perform such other functions as may be directed by the Assistant Director and Director.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Enforcement and Investor Protection Department – Investigation and Prosecution Division (E-1a-4)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Investigate and hear cases assigned to him/her involving violations of the laws, rules and regulations being
implemented by the Commission.
2. Render legal advice to the staff of the Division on issues related to investigations, enforcement actions,
settlements, litigations, administrative hearings, sanctions, appeals and procedures.
3. Prepare show cause orders, corrective action or sanction letters for non-compliance with legal and
regulatory requirements of the Commission.
4. Perform legal research on issues relevant to the functions of the Department or the Division.
5. Interview witnesses and conduct conferences with the parties involved in cases being investigated by the
Division.
6. Prepare criminal complaints and other pleadings for filing before the DOJ or the courts involving violations
of the laws, rules and regulations being implemented by the Commission.
7. Plan and lead in the conduct of ocular inspections and surveillance operations.
8. Sign complaints, motions and pleadings for filing with the DOJ and/or the Courts.
9. Prepare written work output including investigation reports, affidavits, memoranda, order, resolutions,
decisions, and other issuances of the Department.
10. Assist the DOJ as Special Prosecutor in the prosecution of criminal cases involving violations of the laws,
rules and regulations being implemented by the Commission.
11. Perform such other functions as may be directed by the Assistant Director and Director.
SECURITIES INVESTIGATOR
Salary Grade 18

Place of Assignment
 Enforcement and Investor Protection Department – Investigation and Prosecution Division (E-1b-15)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Criminology
 Accountancy
 Finance
 Business
 Economics
 Mathematics
 And other related discipline
 Experience
o 2 years relevant experience preferably in policy formulation, rule making and market
supervision relating to the capital markets
 Training
o 24 hours relevant training in any or combination of the following: Securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Professional) Second Level Eligibility; RA 1080 as applicable

Job Description

The Securities Investigator shall perform the following functions:

1. Perform ocular inspections and participate in surveillance operations of the Department.

2. Interview witnesses and conduct conferences with the parties involved in cases being investigated by the
Division.
3. Prepare investigation reports.
4. Coordinate with law enforcement agencies such as the NBI, PNP and CIDG in investigating securities laws
violations and other violations of laws, rules and regulations administered and enforced by the Commission.
5. Perform such other functions as may be directed by the Assistant Director and Director.
SECURITIES EXAMINER II
Salary Grade 18

Place of Assignment
 Enforcement and Investor Protection Department – Investigation and Prosecution Division (E-1a-6)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Accountancy
 Finance
 Business Administration
 Economics
 Mathematics
 And other related disciplines
 Experience
o 3 years experience relevant/related to the job preferably in policy formulation, rule making
and market supervision relating to the capital markets
 Training
o 32 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The Securities Examiner II shall perform the following functions:

1. Conduct compliance audits, risks assessments, and data analysis to determine compliance with securities
laws in connection with investigations conducted by the Division or the Department.
2. Prepare technical reports and study on the results of compliance audits and examinations.
3. Issue deficiency letters and perform follow-up work as necessary.
4. Perform such other functions as may be directed by the Assistant Director and Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Enforcement and Investor Protection Department – Investigation and Prosecution Division (E-1b-17)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Enforcement and Investor Protection Department – Special Operations Division (E-1c-1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 5 years relevant/related experience in accounting position; 4 years of which must be in a
supervisory/ management experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and
 Other related supervisory/management Learning and Development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (BAR)

Job Description

The SEC Assistant Director shall perform the following functions:

1. Assist the Director in planning, directing and supervising the operations of the Division to ensure that its
duties and functions are properly carried out.
2. Assist the Director in the preparation of Target Accomplishments, Major Final Output and Financial Plan
and the Annual Budget Proposal in support of said plan.
3. Assist the Director in ensuring the strict enforcement of policies, standards, rules and regulations governing
operations and personnel.
4. Develop all procedures related to division activities such as investigations and enforcement actions and
methodologies for review of referrals, distribution of work assignments, conduct of inspections and
examinations, documentation of research and making recommendations for actions to be taken.
5. Determine work assignment allocations to staff, assign staff to investigations and review results of
inspections and surveillance operations.
6. Evaluate, review and approve the work outputs of division staff.
7. Determine the training needs of Division personnel and make the appropriate recommendations thereon.
8. Assist the Director in preparing for and in representing the Department in Commission meetings, strategic
planning conferences, and in Budget Hearings, Congressional investigations or Public hearings involving
proposed changes in the laws being enforced by the Commission.
9. Coordinate with law enforcement agencies such as the NBI, PNP and CIDG in investigating violations of
laws, rules and regulations administered and enforced by the Commission.
10. Attend NALECC meetings together with the EIPD Director.
11. Assist the Director in the distribution of emails and letters to the proper Division for appropriate action.
12. Perform such other functions as may be directed by the Director, SEC Chairperson, Supervising
Commissioner or the Commission En Banc.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Enforcement and Investor Protection Department – Special Operations Division (E-1c-5)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Conduct surveillance operations and onsite inspections.

2. Prepare investigation and/or surveillance reports.
3. Prepare letter-replies to queries from the public and other government agencies.
4. Assist and attend to walk-in clients of the Department.
5. Prepare criminal complaints and other pleadings for filing before the DOJ or the courts involving violations
of the laws, rules and regulations being implemented by the Commission.
6. Prepare written work output including investigation reports, affidavits, memoranda, order, resolutions,
decisions, and other issuances of the Department.
7. Assist the DOJ as Special Prosecutor in the prosecution of criminal cases involving violations of the laws,
rules and regulations being implemented by the Commission.
8. Perform such other functions as may be directed by the Assistant Director and Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Enforcement and Investor Protection Department – Special Operations Division (E-1c-8)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The Administrative Assistant II shall perform the following functions:

1. Prepare certain basic documents or other materials for presentation/study as needed with
guidance/supervision and review by counsels, investigators, examiners and specialists.
2. Provide administrative support to the staff of the Division.
3. Receive and record incoming and outgoing documents of the Division.
4. Assist in the preparation of documents for transmittal and/or filing.
5. Act as general receptionist, answering phones and directing visitors of the Division.
6. Perform such other functions as may be directed by the Assistant Director and Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Enforcement and Investor Protection Department – Special Operations Division (E-1b-18)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The Administrative Assistant II shall perform the following functions:

1. Prepare certain basic documents or other materials for presentation/study as needed with
guidance/supervision and review by counsels, investigators, examiners and specialists.
2. Provide administrative support to the staff of the Division.
3. Receive and record incoming and outgoing documents of the Division.
4. Assist in the preparation of documents for transmittal and/or filing.
5. Act as general receptionist, answering phones and directing visitors of the Division.
6. Perform such other functions as may be directed by the Assistant Director and Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Enforcement and Investor Protection Department – Anti-Money Laundering Division (E-1d-1-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 5 years relevant/related experience in accounting position; 4 years of which must be in a
supervisory/ management experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and
 Other related supervisory/management Learning and Development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (BAR)

Job Description

The SEC Assistant Director shall perform the following functions:

1. Assist the Director in planning, directing and supervising the operations of the Division to ensure that its
duties and functions are properly carried out.
2. Assist the Director in the preparation of Target Accomplishments, Major Final Output and Financial Plan
and the Annual Budget Proposal in support of said plan.
3. Assist the Director in ensuring the strict enforcement of policies, standards, rules and regulations governing
operations and personnel of the Division.
4. Develop all procedures related to division activities such as investigations and enforcement actions and
methodologies for review of referrals, distribution of work assignments, conduct of inspections and
examinations, documentation of research and making recommendations for actions to be taken.
5. Determine work assignment allocations to staff, assigns staff to investigations and review results of
inspections and surveillance operations.
6. Evaluate, review and approve the work outputs of division staff.
7. Determine the training needs of Division personnel and make the appropriate recommendations thereon.
8. Review and approve the recommendations on the AML/CFT Manual of Operations of SEC covered entities.
9. Assist the Director in preparing for and in representing the Department in Commission meetings, strategic
planning conferences, and in Budget Hearings, Congressional investigations or Public hearings involving
proposed changes in the laws being enforced by the Commission.
10. Coordinate with the Anti-Money Laundering Council (AMLC) Secretariat.
11. Act on requests for assistance from IOSCO members and other foreign securities regulators on AML/CFT
matters.
12. Perform such other functions as may be directed by the Director, SEC Chairperson, Supervising
Commissioner or the Commission En Banc.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Enforcement and Investor Protection Department – Anti-Money Laundering Division (E-1d-6-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Investigate and hear cases assigned to him/her involving violations by SEC-registered entities of AML/CFT
laws and the rules and regulations of the Commission concerning AML/CFT matters.
2. Render legal advice to the staff of the Division on issues related to investigations, enforcement actions,
litigations, administrative hearings, sanctions, appeals and procedures.
3. Prepare show cause orders, corrective action or sanction letters for non-compliance with AML/CFT laws
and the rules and regulations of the Commission concerning AML/CFT matters.
4. Perform legal research on issues relevant to the functions of the Department or the Division.
5. Interview witnesses and conduct conferences with the parties involved in cases being investigated by the
Division.
6. Prepare written work output including investigation reports, affidavits, memoranda, order, resolutions,
decisions, briefs, pleadings and other issuances of the Department.
7. Assist the DOJ as Special Prosecutor in the prosecution of criminal cases involving violations of the laws,
rules and regulations being implemented by the Commission.
8. Prepare criminal complaints and other pleadings for filing before the DOJ and the courts in cases involving
the violation of the rules and regulations of the Commission concerning AML/CFT matters.
9. Perform such other functions as may be directed by the Assistant Director and Director.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Enforcement and Investor Protection Department – Anti-Money Laundering Division (E-1d-7-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Investigate and hear cases assigned to him/her involving violations by SEC-registered entities of AML/CFT
laws and the rules and regulations of the Commission concerning AML/CFT matters.
2. Render legal advice to the staff of the Division on issues related to investigations, enforcement actions,
litigations, administrative hearings, sanctions, appeals and procedures.
3. Prepare show cause orders, corrective action or sanction letters for non-compliance with AML/CFT laws
and the rules and regulations of the Commission concerning AML/CFT matters.
4. Perform legal research on issues relevant to the functions of the Department or the Division.
5. Interview witnesses and conduct conferences with the parties involved in cases being investigated by the
Division.
6. Prepare written work output including investigation reports, affidavits, memoranda, order, resolutions,
decisions, briefs, pleadings and other issuances of the Department.
7. Assist the DOJ as Special Prosecutor in the prosecution of criminal cases involving violations of the laws,
rules and regulations being implemented by the Commission.
8. Prepare criminal complaints and other pleadings for filing before the DOJ and the courts in cases involving
the violation of the rules and regulations of the Commission concerning AML/CFT matters.
9. Perform such other functions as may be directed by the Assistant Director and Director.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Enforcement and Investor Protection Department – Anti-Money Laundering Division (E-1d-8-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II shall perform the following functions:

1. Investigate and hear cases assigned to him/her involving violations by SEC-registered entities of AML/CFT
laws and the rules and regulations of the Commission concerning AML/CFT matters.
2. Render legal advice to the staff of the Division on issues related to investigations, enforcement actions,
litigations, administrative hearings, sanctions, appeals and procedures.
3. Prepare show cause orders, corrective action or sanction letters for non-compliance with AML/CFT laws
and the rules and regulations of the Commission concerning AML/CFT matters.
4. Perform legal research on issues relevant to the functions of the Department or the Division.
5. Interview witnesses and conduct conferences with the parties involved in cases being investigated by the
Division.
6. Prepare written work output including investigation reports, affidavits, memoranda, order, resolutions,
decisions, briefs, pleadings and other issuances of the Department.
7. Assist the DOJ as Special Prosecutor in the prosecution of criminal cases involving violations of the laws,
rules and regulations being implemented by the Commission.
8. Prepare criminal complaints and other pleadings for filing before the DOJ and the courts in cases involving
the violation of the rules and regulations of the Commission concerning AML/CFT matters.
9. Perform such other functions as may be directed by the Assistant Director and Director.
SECURITIES COUNSEL I
Salary Grade 19

Place of Assignment
 Enforcement and Investor Protection Department – Anti-Money Laundering Division (E-1d-15-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o Not required
 Training
o 32 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel I shall perform the following functions:

1. Investigate and hear cases assigned to him/her involving violations by SEC-registered entities of AML/CFT
laws and the rules and regulations of the Commission concerning AML/CFT matters.
2. Perform legal research on issues relevant to the functions of the Department or the Division.
3. Prepare show cause orders, corrective action or sanction letters for non-compliance with AML/CFT laws
and the rules and regulations of the Commission concerning AML/CFT matters.
4. Interview witnesses and conduct conferences with the parties involved in cases being investigated by the
Division.
5. Prepare written work output including investigation reports, affidavits, memoranda, order, resolutions,
decisions, briefs, pleadings and other issuances of the Department.
6. Assist the DOJ as Special Prosecutor in the prosecution of criminal cases involving violations of the laws,
rules and regulations being implemented by the Commission.
7. Perform such other functions as may be directed by the Assistant Director and Director.
SEC PROCESS SERVER
Salary Grade 7

Place of Assignment
 Enforcement and Investor Protection Department – Anti-Money Laundering Division (E-1d-26-2017)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience in office management
 Training
o 8 hours training relevant to the functions of the position and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Process Server shall perform the following functions:

1. Serve summons, subpoenas, show cause notices, orders, resolutions and decisions of the Department to
parties and/or witnesses.
2. Prepare and submit returns or proof of service.
3. Perform such other functions as may be directed by the Assistant Director and Director.
SEC PROCESS SERVER
Salary Grade 7

Place of Assignment
 Enforcement and Investor Protection Department – Anti-Money Laundering Division (E-1d-27-2017)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience in office management
 Training
o 8 hours training relevant to the functions of the position and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Process Server shall perform the following functions:

1. Serve summons, subpoenas, show cause notices, orders, resolutions and decisions of the Department to
parties and/or witnesses.
2. Prepare and submit returns or proof of service.
3. Perform such other functions as may be directed by the Assistant Director and Director.
SEC DIRECTOR III
Salary Grade 27

Place of Assignment
 Information and Communications Technology Department – Office of the Director (C-3)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Business
 Finance
 Economics
 Accountancy
 Public/Business Administration
 Information Technology
 Psychology
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 7 years relevant/related experience; 5 years of which must be in a supervisory/ management
work experience in electronic system
 Training
o 120 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program; and
 Other related supervisory/management Learning and Development interventions
 Eligibility
o Career Executive Service (CES) Eligibility/ Career Service Executive Eligible (CSEE)
o Third Level Eligibility
Job Description

The SEC Director III shall perform the following functions:

1. Formulate the SEC Information Systems Strategic Plan (ISSP) and coordinates activities relative to the
implementation thereof.
2. Undertake procurement planning, acquisition, and deployment of the Commission’s Information and
Communications Technology (ICT) Resources in accordance with the SEC-ISSP.
3. Lead and facilitate application systems development activities, including the administration, maintenance,
and promotions of the systems developed and deployed application systems.
4. Enable all the divisions within ICTD with shared services that can be utilized by, monitor, and assist these
divisions.
5. Perform capacity planning activities and administers the network and communications infrastructure of the
Commission including establishment of linkages between the SEC head office and extension offices.
6. Develop/formulate system/ICT standards, policies, and procedures.
7. Ensure the proper maintenance and performance of the computer and network facilities of the Commission.
8. Participate in inter-agency electronic linkages and data-sharing arrangements.
9. Preserve the integrity of the SEC electronic data.
10. Update the database entries relative to amendments to the capital structure/ contributed capital of SEC
registered companies.
11. Receive reports and other written communications (mails and walk-in) and release SEC documents, except
applications processed and approved by CRMD.
12. Maintain archives and manage electronic copies of documents submitted by registered companies.
13. Coordinate with the other departments/ offices in the disposal of records in accordance with Philippine law
and SEC Policy.
14. Authenticate corporate/partnership documents based on electronic records.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Information and Communications Technology Department – Information Systems Development &
Management Division (F-2c-28-2017)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Accountancy
 Economics
 Information Technology
 Computer Science
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 5 years experience in Information Technology/ Electronic Records Management position; 4
years of which must be in a supervisory/ management experience in electronic system
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Electronic Records Management;
 Other related Leadership trainings; and and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
Job Description

The SEC Assistant Director shall perform the following functions:

1. Manage and supervise information system development, enhancement, and development-operations

DevOps projects and initiatives.
2. Manage technical aspects of quality assurance and testing, the services of which are meant to be used as
a shared service across ICTD divisions.
3. Manage application systems interoperability and adherence of all applications to the technical systems,
applications, and network architecture of the SEC.
4. Manage and policies secure application development standards and best practices in all SEC applications.
5. Manage the periodically and randomly conducted security and vulnerability testing of all ICT systems,
internally and with other agencies.
6. Manage development and maintenance of the SEC websites.
7. Manage database build-up/ conversion.
8. Administer and monitor system performance, and
9. Manage and maintain IT library and infrastructure resources/assets.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Information and Communications Technology Department – Systems Operations Division (C-3b-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Accountancy
 Economics
 Information Technology
 Computer Science
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 5 years experience in Information Technology/ Electronic Records Management position; 4
years of which must be in a supervisory/ management experience in electronic system
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Electronic Records Management;
 Other related Leadership trainings; and and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility

Job Description

The SEC Assistant Director shall perform the following functions:

1. Manage and supervise the operational aspect of implemented systems and version updates, IT services and
security of databases, network infrastructure and other related IT resources.
2. Review and approve within the level of authority the formulated policy and solutions imperative to the
implementation of IT systems both on premise and subscribed services.
3. Monitor the request for technical assistance and support on hardware, software, implemented information
systems and connectivity and provide appropriate strategy or solutions on complex IT issues and concerns,
both internal and external in origin.
4. Manage the Development, Testing, Staging, and Production Environments, Release Processes and
Helpdesk and Administrative Support of all ICT assets of the SEC.
5. Implement strategic innovations or enhancements on IT operations based on plans and directions given by
the ICTD Director.
6. Initiate coordinating efforts with other government agencies, ICT industries and related organizations on IT
projects, technology-based solutions and IT strategies.
7. Act on memorandum, letters and other form of communication both from internal and external.
8. Initiate first level decision-making on issues and concerns pertaining to system operations with
coordination and clearance from the ICTD Director.

SEC INFORMATION SYSTEMS ANALYST II

Salary Grade 19

Place of Assignment
 Information and Communications Technology Department - Information Systems Development &
Management Division (F-2c-30-2017)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Information Technology
 Computer Science
 Engineering
 And other related disciplines
 Experience
o 3 years relevant/related experience in computer technology work, information systems
development, ICT resources troubleshooting
 Training
o 32 hours relevant training and other learning and development interventions related to
Information Technology
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Information Systems Analyst (II) shall perform the following functions:

1. Support specific application development efforts towards successful delivery of projects and through to
operational maintenance (based on the Unit assignment).
2. Conduct specific application testing efforts across all stages of testing as well as in the production of quality
assurance deliverables (based on the Unit assignment).
3. Collaborate with other application developers, business analysts and software architects to develop, test,
and maintain different systems and applications (based on the Unit assignment).
4. Conduct the collection and documentation of user's requirements, development of user stories, estimates
and work plans.
5. Develop, and unit tests applications in accordance with established standards (based on the Unit
assignment).
6. Participate in application systems development activities, including the business process analysis, system
design, program coding, testing, deployment, administration, maintenance, and promotion of the systems
developed and deployed application systems.
7. Perform such other functions as assigned from time to time
SEC COMPUTER MAINTENANCE TECHNOLOGIST
Salary Grade 16

Place of Assignment
 Information and Communications Technology Department - Information Systems Development &
Management Division (F-2c-5)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Information Technology
 Computer Science
 Engineering
 And other related disciplines
 Experience
o 1 year relevant/related experience in computer technology work, information systems
development, ICT resources troubleshooting
 Training
o 16 hours relevant training and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Computer Maintenance Technologist shall perform the following functions:

1. Work with outside vendors of research system software that is available. Make recommendations, including
cost studies, to management on the most efficient and reliable products. React to management decisions on
which products to purchase. Perform preliminary negotiations on vendor contracts. Work with vendors to
install software.
2. Assist in keeping the system running reliably, efficiently, securely and at 100% availability at all required
time.
3. Assist in coordinating with third party providers (e.g., telecommunication services, internet service
providers) for the resolution of systems-related problems.
4. Participate in the application systems development activities, including the business process analysis,
system design, program coding, administration, maintenance and promotions of the systems developed and
deployed application systems.
5. Document various aspects of the software and development and use, including all problems encountered
by users. Prepare periodic reports to management on software problems encountered and their resolution.
6. Perform such other functions as may be directed by the SEC Assistant Director/ SEC Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Information and Communications Technology Department - Information Systems Development &
Management Division (F-2c-20-2016)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Prepare certain basic documents or other materials for presentation/study as needed with
guidance/supervision and review by attorneys, investigators, examiners, specialists, and analysts.
2. Process electronically routine applications from corporations for registration.
3. Collate and ensure safekeeping of documents (hard copy and electronic) prepared in the course of
processing within the division.
4. Input information on applicants to SEC database. Correct errors in information as determined through on-
line system edits. Ensure that corporation profiles are accepted by the SEC system.
5. Record all proceedings and file the records per established SEC procedures.
6. Perform such other functions as may be directed by the Chairperson/Commission.

The SEC Administrative Assistant II shall perform the following functions:

1. Receive general office mail and distribute as appropriate, deliver correspondence from the Commissioners.
2. Act as a general receptionist for the area. Direct visitors to meeting locations. Answer telephones and
forward calls to proper party. Take messages as needed. Maintain message log.
3. Receive all electronic or paper copy documents to be filed. Follow SEC standards in filling the document.
Update any logs or records about where and how the document is filed. Produce reports on documents filed,
as appropriate.
4. Perform such other functions as may be directed by the Chairman/Commissioner

The SEC Administrative Assistant II shall perform the following functions:

1. Prepare certain basic documents or other materials for presentation/study as needed with
guidance/supervision and review by attorneys, investigators, examiners, specialists and analysts;
2. Process electronically routine applications from corporations for registration;
3. Collate and ensure safekeeping of documents (hard copy and electronic) prepared in the course of
processing within the division
4. Input information on applicants to SEC database. Correct errors in information as determined through on-
line system edits. Ensure that corporation profiles are accepted by the SEC system.
5. Record all proceedings and file the records per established SEC procedures.
6. Perform such other functions as may be directed by the Director/Asst. Director.
7. Verify completeness and clarity of documents prior to authentication;
8. Receive, encode and distribute reports.
9. Retrieve requested documents through the iView and iView back-up.
10. Sort and prepare amendment documents and/or reports prior to scanning.
SEC INFORMATION SYSTEMS ANALYST I
Salary Grade 18

Place of Assignment
 Information and Communications Technology Department - Information Systems Development &
Management Division (F-2c-4)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Computer Science
 Information Technology
 Engineering course
 And other related disciplines
 Experience
o 2 years relevant/related experience in computer technology work, information systems
development, ICT resources troubleshooting
 Training
o 24 hours relevant training and other learning and development interventions related to
Information Technology
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Information Systems Analyst I shall perform the following functions:

1. Carry out specific application development tasks towards successful delivery of projects and through to
operational maintenance (based on the Unit assignment).
2. Conduct specific application testing efforts across specified stages of testing as well as in the production
of quality assurance deliverables (based on the Unit assignment).
3. Collaborate with other application developers, business analysts and software architects to develop, test,
and maintain different systems and applications (based on the Unit assignment).
4. Carry out the collection and documentation of user's requirements, development of user stories, estimates
and work plans.
5. Develop, and unit test applications in accordance with established standards (based on the Unit
assignment).
6. Participate in application systems development activities, including the business process analysis,
system design, program coding, testing, deployment, administration, maintenance, and promotion of the
systems developed and deployed application systems.
7. Perform such other functions as assigned from time to time.
SEC INFORMATION SYSTEMS ANALYST I
Salary Grade 18

Place of Assignment
 Information and Communications Technology Department - Systems Operations Division (F-2c-19-
2016)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Computer Science
 Information Technology
 Engineering course
 And other related disciplines
 Experience
o 2 years relevant/related experience in computer technology work, information systems
development, ICT resources troubleshooting
 Training
o 24 hours relevant training and other learning and development interventions related to
Information Technology
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Information Systems Analyst I shall perform the following functions:

1. Conduct administration tasks within a subset of either systems, network, or database services (based on
the Unit assignment).
2. Carry out operations and maintenance tasks; create, administer, and maintain procedures in an
application management system (based on the Unit assignment).
3. Carry out operations and maintenance tasks; create, administer, and maintain procedures in a network
management system (based on the Unit assignment).
4. Carry out operations and maintenance tasks; create, administer, and maintain procedures in a database
management system (based on the Unit assignment).
5. Carry out Helpdesk and Technical Support tasks for a particular application or concern, including
Customer Relationship Management, Call Support, and Hardware and Device Support (based on the Unit
assignment).
6. Carry out technical tasks involved in the management of a set of projects for special activities such as
application/software projects.
7. Coordinate and escalate issues as necessary.
8. Monitor the status of an applications, network, and databases in terms of performance and security and
provide information gathering on issues encountered including the initial resolution and recommendation
(based on the Unit assignment).
9. Conduct data replication, business recovery, and business continuity tasks to administer mechanisms
and services for a given set of resources (based on the Unit assignment).
10. Respond to requests of statistics and related reports from internal and external offices.
11. Provide technical assistance relative to the various systems as well as to the specific information needed
by the users in all units.
12. Perform backup operation tasks, ensuring all required file systems and system data are successfully
backup to the appropriate media.
SEC ADMINISTRATIVE OFFICER II
Salary Grade 14

Place of Assignment
 Information and Communications Technology Department – Electronic Record Management
Division
(F-1b-2)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Sociology
 Human Resources
 Psychology
 Management
 Economics
 Engineering
 Computer Science
 Accountancy
 Finance
 Mathematics
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records/ office management including electronic
records administration
 Training
o 16 hours relevant training in any or combination of the following: records management,
procurement law, CSC rules and regulations, general management, securities law, capital
markets, corporation law, and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Administrative Officer II shall perform the following functions:

1. Develop and update procedures and standards for electronic and paper copy records retention at the SEC
and ensure that the standards are applied in all departments. SEC Records Specialist III acts as unit
Supervisor.
2. Work with the ICTD-SOD to develop and implement the most effective means of storing and retrieving in
electronic format
3. Store the official records of the SEC and ensure the records are available upon request
4. Oversee destruction of records under Philippine law and SEC Policy.
5. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director.
6. Monitor receipt and transmittal of all reports received from walk-in clients, postal mail and courier to the
different department/s concerned. Prepare period reports.
7. Monitor the distribution and mailing of documents from other departments.
8. Monitor the sorting and distribution of all documents received from the Satellite Offices to the concerned
department/s.
9. Coordinate with Extension Offices re: transmittal of received reports and amendments.
10. Assist in signing the authentication certification of verified documents requested by the public.
11. Prepare Payment Assessment Forms prior to payment
12. Receive, encode and distribute reports
13. Perform cancellation and corrections for erroneous entries/encoding
SEC ADMINISTRATIVE OFFICER II
Salary Grade 14

Place of Assignment
 Information and Communications Technology Department – Electronic Record Management
Division (F-2c-21-2016)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Sociology
 Human Resources
 Psychology
 Management
 Economics
 Engineering
 Computer Science
 Accountancy
 Finance
 Mathematics
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records/ office management including electronic
records administration
 Training
o 16 hours relevant training in any or combination of the following: records management,
procurement law, CSC rules and regulations, general management, securities law, capital
markets, corporation law, and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Administrative Officer II shall perform the following functions:

1. Develop and update procedures and standards for electronic and paper copy records retention at the SEC
and ensure that the standards are applied in all departments. SEC Records Specialist III acts as unit
Supervisor.
2. Work with the ICTD-SOD to develop and implement the most effective means of storing and retrieving in
electronic format
3. Store the official records of the SEC and ensure the records are available upon request
4. Oversee destruction of records under Philippine law and SEC Policy.
5. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director.
6. Monitor receipt and transmittal of all reports received from walk-in clients, postal mail and courier to the
different department/s concerned. Prepare period reports.
7. Monitor the distribution and mailing of documents from other departments.
8. Monitor the sorting and distribution of all documents received from the Satellite Offices to the concerned
department/s.
9. Coordinate with Extension Offices re: transmittal of received reports and amendments.
10. Assist in signing the authentication certification of verified documents requested by the public.
11. Prepare Payment Assessment Forms prior to payment
12. Receive, encode and distribute reports
13. Perform cancellation and corrections for erroneous entries/encoding
SEC COMPUTER OPERATOR
Salary Grade 7

Place of Assignment
 Information and Communications Technology Department – Electronic Record Management
Division (F-1b-14)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Computer Operator and SEC Assistant Computer Operator shall perform the following functions:

1. Maintain files of records (paper or electronic form) for department, per SEC standards for records
maintenance. Microfilm documents per departmental procedures. Perform basic data input to internal records
system. Update manual logs and/or other records on files.
2. Receive, sort, and deliver departmental mail as delivered by the SEC Mail Room on a daily basis. Collect
outgoing mail and delivers it to the Mail room arranges for courier shipments. Maintain appropriate logs related
to postal mail and courier shipments for the department.
3. Prepare hard copy records for archival storage under SEC policies and procedures. Maintain, log-on archival
storage. Retrieve records from archival storage as needed by department staff. Assist in preparing hard copy
records for destruction as prescribed by law as well as SEC standards.
4. Ensure proper operation of any document scanning and/or microfilming machinery, including setting the
date and other tracking numbers and maintaining logs of documents on rolls of film. Develop microfilm and
maintain storage facility. Control access to microfilm by departmental staff through a ""library"" system.
5. Does typing, photocopying, collating, and binding department reports and other documents.
6. Answer departmental telephones, take messages, and direct calls.
7. Perform such other functions as may be assigned by the Chairperson/Commission.
8. Maintain and ensure security of microfilm rolls in custody.
9. Assists in the verification of documents for authentication.
10. Prepare Payment Assessment Form (PAF) prior to payment.
11. Encode image addresses of scanned approved secondary licenses and amendments to SEC i-Register.
12. Check quality of images of primary licenses approved thru the Company Registration System (CRS).
13. Scan documents and write images in CDs for uploading.
14. Prepare transmittal of scanned documents for storage at SEC offsite warehouse.
SEC COMPUTER OPERATOR
Salary Grade 7

Place of Assignment
 Information and Communications Technology Department – Electronic Record Management
Division (F-2c-36-2017)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Computer Operator and SEC Assistant Computer Operator shall perform the following functions:

1. Maintain files of records (paper or electronic form) for department, per SEC standards for records
maintenance. Microfilm documents per departmental procedures. Perform basic data input to internal records
system. Update manual logs and/or other records on files.
2. Receive, sort, and deliver departmental mail as delivered by the SEC Mail Room on a daily basis. Collect
outgoing mail and delivers it to the Mail room arranges for courier shipments. Maintain appropriate logs related
to postal mail and courier shipments for the department.
3. Prepare hard copy records for archival storage under SEC policies and procedures. Maintain, log-on archival
storage. Retrieve records from archival storage as needed by department staff. Assist in preparing hard copy
records for destruction as prescribed by law as well as SEC standards.
4. Ensure proper operation of any document scanning and/or microfilming machinery, including setting the
date and other tracking numbers and maintaining logs of documents on rolls of film. Develop microfilm and
maintain storage facility. Control access to microfilm by departmental staff through a ""library"" system.
5. Does typing, photocopying, collating, and binding department reports and other documents.
6. Answer departmental telephones, take messages, and direct calls.
7. Perform such other functions as may be assigned by the Chairperson/Commission.
8. Maintain and ensure security of microfilm rolls in custody.
9. Assists in the verification of documents for authentication.
10. Prepare Payment Assessment Form (PAF) prior to payment.
11. Encode image addresses of scanned approved secondary licenses and amendments to SEC i-Register.
12. Check quality of images of primary licenses approved thru the Company Registration System (CRS).
13. Scan documents and write images in CDs for uploading.
14. Prepare transmittal of scanned documents for storage at SEC offsite warehouse.
SEC COMPUTER OPERATOR
Salary Grade 7

Place of Assignment
 Information and Communications Technology Department – Electronic Record Management
Division (F-2c-37-2017)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Computer Operator and SEC Assistant Computer Operator shall perform the following functions:

1. Maintain files of records (paper or electronic form) for department, per SEC standards for records
maintenance. Microfilm documents per departmental procedures. Perform basic data input to internal records
system. Update manual logs and/or other records on files.
2. Receive, sort, and deliver departmental mail as delivered by the SEC Mail Room on a daily basis. Collect
outgoing mail and delivers it to the Mail room arranges for courier shipments. Maintain appropriate logs related
to postal mail and courier shipments for the department.
3. Prepare hard copy records for archival storage under SEC policies and procedures. Maintain, log-on archival
storage. Retrieve records from archival storage as needed by department staff. Assist in preparing hard copy
records for destruction as prescribed by law as well as SEC standards.
4. Ensure proper operation of any document scanning and/or microfilming machinery, including setting the
date and other tracking numbers and maintaining logs of documents on rolls of film. Develop microfilm and
maintain storage facility. Control access to microfilm by departmental staff through a ""library"" system.
5. Does typing, photocopying, collating, and binding department reports and other documents.
6. Answer departmental telephones, take messages, and direct calls.
7. Perform such other functions as may be assigned by the Chairperson/Commission.
8. Maintain and ensure security of microfilm rolls in custody.
9. Assists in the verification of documents for authentication.
10. Prepare Payment Assessment Form (PAF) prior to payment.
11. Encode image addresses of scanned approved secondary licenses and amendments to SEC i-Register.
12. Check quality of images of primary licenses approved thru the Company Registration System (CRS).
13. Scan documents and write images in CDs for uploading.
14. Prepare transmittal of scanned documents for storage at SEC offsite warehouse.
SEC ASSISTANT COMPUTER OPERATOR
Salary Grade 6

Place of Assignment
 Information and Communications Technology Department – Electronic Record Management Division
(F-1b-8)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o None
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Computer Operator and SEC Assistant Computer Operator shall perform the following functions:

1. Maintain files of records (paper or electronic form) for department, per SEC standards for records
maintenance. Microfilm documents per departmental procedures. Perform basic data input to internal records
system. Update manual logs and/or other records on files.
2. Receive, sort, and deliver departmental mail as delivered by the SEC Mail Room on a daily basis. Collect
outgoing mail and delivers it to the Mail room arranges for courier shipments. Maintain appropriate logs related
to postal mail and courier shipments for the department.
3. Prepare hard copy records for archival storage under SEC policies and procedures. Maintain, log-on archival
storage. Retrieve records from archival storage as needed by department staff. Assist in preparing hard copy
records for destruction as prescribed by law as well as SEC standards.
4. Ensure proper operation of any document scanning and/or microfilming machinery, including setting the
date and other tracking numbers and maintaining logs of documents on rolls of film. Develop microfilm and
maintain storage facility. Control access to microfilm by departmental staff through a ""library"" system.
5. Does typing, photocopying, collating, and binding department reports and other documents.
6. Answer departmental telephones, take messages, and direct calls.
7. Perform such other functions as may be assigned by the Chairperson/Commission.
8. Maintain and ensure security of microfilm rolls in custody.
9. Assists in the verification of documents for authentication.
10. Prepare Payment Assessment Form (PAF) prior to payment.
11. Encode image addresses of scanned approved secondary licenses and amendments to SEC i-Register.
12. Check quality of images of primary licenses approved thru the Company Registration System (CRS).
13. Scan documents and write images in CDs for uploading.
14. Prepare transmittal of scanned documents for storage at SEC offsite warehouse.
SEC ASSISTANT COMPUTER OPERATOR
Salary Grade 6

Place of Assignment
 Information and Communications Technology Department – Electronic Record Management Division
(F-1b-9)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o None
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Computer Operator and SEC Assistant Computer Operator shall perform the following functions:

1. Maintain files of records (paper or electronic form) for department, per SEC standards for records
maintenance. Microfilm documents per departmental procedures. Perform basic data input to internal records
system. Update manual logs and/or other records on files.
2. Receive, sort, and deliver departmental mail as delivered by the SEC Mail Room on a daily basis. Collect
outgoing mail and delivers it to the Mail room arranges for courier shipments. Maintain appropriate logs related
to postal mail and courier shipments for the department.
3. Prepare hard copy records for archival storage under SEC policies and procedures. Maintain, log-on archival
storage. Retrieve records from archival storage as needed by department staff. Assist in preparing hard copy
records for destruction as prescribed by law as well as SEC standards.
4. Ensure proper operation of any document scanning and/or microfilming machinery, including setting the
date and other tracking numbers and maintaining logs of documents on rolls of film. Develop microfilm and
maintain storage facility. Control access to microfilm by departmental staff through a ""library"" system.
5. Does typing, photocopying, collating, and binding department reports and other documents.
6. Answer departmental telephones, take messages, and direct calls.
7. Perform such other functions as may be assigned by the Chairperson/Commission.
8. Maintain and ensure security of microfilm rolls in custody.
9. Assists in the verification of documents for authentication.
10. Prepare Payment Assessment Form (PAF) prior to payment.
11. Encode image addresses of scanned approved secondary licenses and amendments to SEC i-Register.
12. Check quality of images of primary licenses approved thru the Company Registration System (CRS).
13. Scan documents and write images in CDs for uploading.
14. Prepare transmittal of scanned documents for storage at SEC offsite warehouse.
SEC ASSISTANT COMPUTER OPERATOR
Salary Grade 6

Place of Assignment
 Information and Communications Technology Department – Electronic Record Management Division
(F-1b-21)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o None
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Computer Operator and SEC Assistant Computer Operator shall perform the following functions:

1. Maintain files of records (paper or electronic form) for department, per SEC standards for records
maintenance. Microfilm documents per departmental procedures. Perform basic data input to internal records
system. Update manual logs and/or other records on files.
2. Receive, sort, and deliver departmental mail as delivered by the SEC Mail Room on a daily basis. Collect
outgoing mail and delivers it to the Mail room arranges for courier shipments. Maintain appropriate logs related
to postal mail and courier shipments for the department.
3. Prepare hard copy records for archival storage under SEC policies and procedures. Maintain, log-on archival
storage. Retrieve records from archival storage as needed by department staff. Assist in preparing hard copy
records for destruction as prescribed by law as well as SEC standards.
4. Ensure proper operation of any document scanning and/or microfilming machinery, including setting the
date and other tracking numbers and maintaining logs of documents on rolls of film. Develop microfilm and
maintain storage facility. Control access to microfilm by departmental staff through a ""library"" system.
5. Does typing, photocopying, collating, and binding department reports and other documents.
6. Answer departmental telephones, take messages, and direct calls.
7. Perform such other functions as may be assigned by the Chairperson/Commission.
8. Maintain and ensure security of microfilm rolls in custody.
9. Assists in the verification of documents for authentication.
10. Prepare Payment Assessment Form (PAF) prior to payment.
11. Encode image addresses of scanned approved secondary licenses and amendments to SEC i-Register.
12. Check quality of images of primary licenses approved thru the Company Registration System (CRS).
13. Scan documents and write images in CDs for uploading.
14. Prepare transmittal of scanned documents for storage at SEC offsite warehouse.
SEC ASSISTANT COMPUTER OPERATOR
Salary Grade 6

Place of Assignment
 Information and Communications Technology Department – Electronic Record Management Division
(F-1b-22)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o None
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Computer Operator and SEC Assistant Computer Operator shall perform the following functions:

1. Maintain files of records (paper or electronic form) for department, per SEC standards for records
maintenance. Microfilm documents per departmental procedures. Perform basic data input to internal records
system. Update manual logs and/or other records on files.
2. Receive, sort, and deliver departmental mail as delivered by the SEC Mail Room on a daily basis. Collect
outgoing mail and delivers it to the Mail room arranges for courier shipments. Maintain appropriate logs related
to postal mail and courier shipments for the department.
3. Prepare hard copy records for archival storage under SEC policies and procedures. Maintain, log-on archival
storage. Retrieve records from archival storage as needed by department staff. Assist in preparing hard copy
records for destruction as prescribed by law as well as SEC standards.
4. Ensure proper operation of any document scanning and/or microfilming machinery, including setting the
date and other tracking numbers and maintaining logs of documents on rolls of film. Develop microfilm and
maintain storage facility. Control access to microfilm by departmental staff through a ""library"" system.
5. Does typing, photocopying, collating, and binding department reports and other documents.
6. Answer departmental telephones, take messages, and direct calls.
7. Perform such other functions as may be assigned by the Chairperson/Commission.
8. Maintain and ensure security of microfilm rolls in custody.
9. Assists in the verification of documents for authentication.
10. Prepare Payment Assessment Form (PAF) prior to payment.
11. Encode image addresses of scanned approved secondary licenses and amendments to SEC i-Register.
12. Check quality of images of primary licenses approved thru the Company Registration System (CRS).
13. Scan documents and write images in CDs for uploading.
14. Prepare transmittal of scanned documents for storage at SEC offsite warehouse.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Economic Research and Training Department – Strategic Management and Planning Division (F-2a-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Business
 Finance
 Economics
 Accountancy
 Public/Business Administration
 Information Technology
 Psychology
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 5 years relevant/related experience; 4 years of which must be in a supervisory/ management
work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
o Strategic Planning and Management;
o Managerial Leadership;
o Strategic and Critical Thinking;
o Strategic Decision-Making;
o Coaching and Mentoring for Leaders;
o Stress Management;
o Change Management;
o Monitoring and Evaluation/Results-Based Monitoring;
o Risk Management;
o Knowledge Management for Leaders;
o Project Development and Management and Monitoring;
o Performance and Results Management;
o Leadership Series;
o 7 Habits of Highly Effective Government Leaders;
o Managers Role in Capacity Building;
o Succession Management;
o Supervisory Development Course/Program; and
o Other related Leadership trainings and other learning and development interventions relevant
to the functions of the position
 Eligibility
o Career Executive Service (CES) Eligibility
Job Description

The SEC Assistant Director shall perform the following functions:

1. Develop systems and procedures for the formulation of strategic and operational plan, and for the
monitoring of plan implementation; and direct staff in the execution of these systems and procedures.
2. Plan and direct the preparation of the Commission’s periodic reports to oversight government agencies
regarding the Commission’s physical plan and related accomplishments, according to prescribed standards.
3. Direct staff in the preparation of the Commission’s inputs to government or multi-sector development plans
and related reports/updates, according to prescribed standards; and represent the Department and/or
Commission on inter-agency bodies created for this purpose.
4. Direct the development and implementation of the SEC QMS according to prescribed standards.
5. Oversee the preparation and publication of the SEC Annual Report.
6. Act as the Head of the SEC PMT Secretariat; and represent the Department and/or Commission on inter-
agency bodies on performance management.
7. Assist the Department Director in the preparation and implementation of the Department plan and budget.
8. Perform such other functions as may be directed by the Department Director/SEC Chairperson/SEC
Commission.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Economic Research and Training Department – Training Division (F-2c-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Business
 Finance
 Economics
 Accountancy
 Public/Business Administration
 Information Technology
 Psychology
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 5 years relevant/related experience; 4 years of which must be in a supervisory/ management
work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program; and
 Other related Leadership trainings and other learning and development interventions
relevant to the functions of the position
 Eligibility
o Career Executive Service (CES) Eligibility
Job Description

The SEC Assistant Director shall perform the following functions:

1. Develop and update all processes/procedures related to the day-to-day operations of the Division. Includes
study, consulting with experts, recommending to and keeping the Commission informed regarding the
appropriate, updated and relevant training programs for our external clients (i.e., market professionals such
as brokers, dealers, transfer agents, salesmen, etc.)
2. Oversee provision and implementation of approved training programs for the market professionals in order
to qualify them for licensing and other regulatory requirements of the Commission.
3. Conceive and design, with the aid of system developers, the upgrading of present system and introduction
of new technology which will improve the accuracy and functionality of the SEC Certification Program for
Market Professionals
4. Oversee investor protection and information initiatives of the Commission through roadshows, expositions,
student orientations and collaboration with local government units, professional/business organizations and
other non-government organizations.
5. Direct the staff in the performance of daily tasks under established procedures.
6. Assist the Department Director in the preparation and implementation of the Department plan and budget.
7. Perform such other functions as may be directed by the Department Director/SEC Chairperson/SEC
Commission.
SEC ECONOMIST
Salary Grade 18

Place of Assignment
 Economic Research and Training Department – Economic Research and Statistics Division (C-1c-10-
2013)

Qualification Standards
 Education
o Bachelor's Degree in Economics
 Experience
o 2 years relevant/related experience capital market and corporate sector-related studies and
policy researches, conduct of economic studies, analysis of data and forecasting economic
trends
 Training
o 24 hours relevant training and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Economist shall perform the following functions:

1. Provide technical inputs in the development of work programs, systems and procedures for the conduct of
capital market and corporate sector-related studies, policy researches, and the preparation of other technical
papers/publications of the Division.
2. Apply specialist knowledge to real-world events and developments, providing vital insights into their
financial, political and social impact.
3. Assist in preparing proposals for the research work and publications of the Division/Department.
4. Conduct economic studies, analyze relevant data, explain and forecast economic trends based upon that
data.
5. Assist in representing the Division/Department, along with the preparation/consolidation of inputs to
internal and external work collaborations relating to international trade and the conduct of policy research and
economic studies.
6. Ensure the timely provision of inputs to the Division’s performance commitments to internal and external
stakeholders.
7. Perform other functions as may be assigned by the Supervising Specialist, Assistant Director and/or higher
officials.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Economic Research and Training Department – Economic Research and Statistics Division (F-2b-9)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Perform overall administrative support services to the Division.

2. Handle incoming calls, correspondences, including the filing and safekeeping of records and documents of
the Division based on standard operating procedures.
3. Assist in tracking documents routed for comments and/or action undertaken on tasks assigned to the
Division’s personnel to ensure compliance with established timeframes.
4. Assist in maintaining sufficient quantities of office supplies and other work materials needed by the Division.
5. Perform such other functions as may be assigned by the immediate supervisor and/or Assistant Director.
SEC TRAINING OFFICER III
Salary Grade 18

Place of Assignment
 Economic Research and Training Department – Training Division (F-2d-3-2017)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Business/ Office Administration
 Social/Behavioral Science
 And other related disciplines
 Experience
o 2 years relevant/related supervisory experience on training facilitation, program coordination
and scholarship services, drafting of program strategies and certification examination
modules
 Training
o 24 hours relevant training; and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Training Officer III shall perform the following functions:

1. Provide technical inputs and administrative assistance to the drafting of program strategies towards the
professionalization of capital market participants, especially those focusing on examinations, to include the
review and updating of certification examination modules.
2. Draft the yearly examination calendar, including budgetary allotments, as appropriate, and submit them to
the SEC Supervising Training Officer for review before submission to the Assistant Director/Training Division
Head.
3. Draft reports on all activities relative to the conduct of the SEC Certification Examinations and submit them
to the SEC-STS for review.
4. Consolidate, validate and prepare the technical and administrative requirements relative to the
implementation and conduct of the SEC Certification Examinations/Seminars, to include the conduct or
administration of certification examinations.
5. Handle the scheduling of examinations and processing of payments and generate examination results and
relevant statistics for reporting and other purposes.
6. Keep a database of examinees and ensure the confidentiality of all data and information therein, in
accordance with the Data Privacy Act and the internal guidelines implementing the same.
7. Assist the Training Officer III in charge of certification seminars/examination in the performance of his/her
duties and responsibilities, as needed.
8. Perform other tasks as may be assigned by the immediate supervisor and/or the Assistant Director.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Economic Research and Training Department – Training Division (F-1b-17)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Perform overall administrative support services to the Division.

2. Handle incoming calls, correspondences, including the filing and safekeeping of records and documents of
the Division based on standard operating procedures.
3. Assist in tracking documents routed for comments and/or action undertaken on tasks assigned to the
Division’s personnel to ensure compliance with established timeframes.
4. Assist in maintaining sufficient quantities of office supplies and other work materials needed by the Division.
5. Perform such other functions as may be assigned by the immediate supervisor and/or Assistant Director.
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Human Resource and Administrative Department – Office of the Director (F-1c-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)
SEC TRAINING OFFICER III
Salary Grade 18

Place of Assignment
 Human Resource and Administrative Department – Learning Resource and Information Division (F-
1a-4)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Business/ Office Administration
 Social/Behavioral Science
 And other related disciplines
 Experience
o 2 years relevant/related supervisory experience on training facilitation, program coordination
and scholarship services, drafting of program strategies and certification examination
modules
 Training
o 24 hours relevant training; and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Training Officer III shall perform the following functions:

1. Provide training opportunities to enhance employee skills, productivity and quality of work, to improve
employee morale, as well as to develop loyalty to the SEC. Plan, organize and direct a wide range of internal
and external training activities.
2. Assess training needs of the SEC clients and provide appropriate technical training on SEC policies and
procedures. Seek advice and input from all SEC businesses and technical areas in developing training
programs.
3. Identify training needs of all levels of SEC staff through interviews of employees, skills assessment,
performance evaluation system, and feedback from the various organizational managers.
4. Establish individualized training plans to strengthen employee’s existing skills or teach new ones, and
designs programs to develop executive potential among employees in lower-level positions
5. Develop updates and conduct training programs to meet identified training needs. These include local and
regional training workshops on existing and new processes and changes to existing processes.
6. Develop and update internal training manual and brochures, pamphlets and other training materials for
participants. Oversee the production of manuals, including writing, formatting, and printing. Develop and
update other training tools as needed for workshops and specialized training programs.
7. Coordinate with the SEC Investor Information Specialist in providing training to market participants
especially the investing public.
8. Document all training efforts, success of those efforts, and feedback on the same. Produce periodic reports
to management on training activities.
9. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Human Resource and Administrative Department – Procurement Division (C-3a-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Business
 Finance
 Economics
 Accountancy
 Public/Business Administration
 Information Technology
 Psychology
 Statistics
 Engineering
 And other social sciences courses and related disciplines
 Experience
o 5 years relevant/related experience in human resources/personnel actions, procurement,
general administration and related fields; and
o 4 years of supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
o Strategic Planning and Management;
o Managerial Leadership;
o Strategic and Critical Thinking;
o Strategic Decision-Making;
o Coaching and Mentoring for Leaders;
o Stress Management;
o Change Management;
o Monitoring and Evaluation/Results-Based Monitoring;
o Risk Management;
o Knowledge Management for Leaders;
o Project Development and Management and Monitoring;
o Performance and Results Management;
o Leadership Series;
o 7 Habits of Highly Effective Government Leaders;
o Managers Role in Capacity Building;
o Succession Management;
o Supervisory Development Course/Program;
o Other related Leadership trainings; and other learning and development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
Job Description

The SEC Assistant Director shall perform the following functions:

1. Assist the SEC HRAD Director in all HRAD Plans and Programs including preparation of annual budget.
2. Direct and supervise staff in the performance of daily functions as prescribed by RA 9184 otherwise known
as the Government Reform Procurement Act.
3. Assist the Bids and Awards Committee (BAC) and act as the BAC Secretariat in managing the procurement
process
4. Oversee the performance of the procurement staff in the conduct of the procurement activities (public
bidding and other alternative modes of procurement).
5. Assist the BAC in the review of drafts BAC Resolutions, Memoranda, Bid Bulletins, Replies, Clarifications,
Minutes of Meetings (Pre-Procurement , Pre-Bid, Bid Openings and Regular and Emergency BAC Meetings)
Notices and Reports prepared by the Procurement Staff prior to finalization
6. Assist in the review of inputs from the BAC and the TWG in the preparation of the procurement documents
(Bid Documents, Notice of Awards, Notice to Proceed, Contracts)
7. Oversee timely posting of relevant document in the PhilGEPS and SEC websites, SEC bulletin boards and
advertisement in newspapers.
8. Oversee timely submission of compliance with all the Good Governance Conditions for the agency’s
eligibility to the Annual Performance Based Bonus.
9. Provide utmost priority to BAC assignments overall duties and responsibilities, until the requirements for
the procurement at hand are completed (Jury Duty)
10. Perform other functions as may be directed by the Department Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Human Resource and Administrative Department – General Services Division (F-1d-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in Engineering, and other related
disciplines
 Experience
o 5 years relevant/related experience in administrative, general services, building
administration, general administration and related fields; and
o 4 years of supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and other learning and development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility
o RA 1080 (Engineering)

Job Description

The SEC Assistant Director shall perform the following functions:

1. Develop and update all procedures related to the day to day efficient operations and support of the Division
related to building administration, SEC plants, properties and equipment (PPE).
2. Procurement of office supplies, PPE’s and other services, such as but not limited to Janitorial and Security
Services, Printing and Photocopying Services, mail, facility and security. These include standard interactions
with other areas of the SEC, troubleshooting and general administration of the department. Keep the SEC
Commission informed of work progress and abreast of any potential problems.
3. Oversee implementation of new SEC Commission policies or restructure workflows in the division
pertaining to equipment procurement, purchase of supplies, mail, facility and security.
4. Propose work programs, procedures and projects to the SEC Director for Commission approval those
pertaining to equipment procurement, purchase of supplies, mail, facility and security.
5. Conceive and design with the aid of system developers, system enhancements and new systems which will
improve accuracy of functions performed within the department, the SEC operating and support departments
and other users.
6. Direct staff in performance of daily functions under established procedures and standards.
7. Assist SEC Director in preparation of annual budget.
8. Perform such other functions as may be directed by the SEC Director/SEC Chairperson/SEC Commission.
SEC COMPUTER OPERATOR
Salary Grade 7

Place of Assignment
 Human Resource and Administrative Department – General Services Division (F-1d-17-2017)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Computer Operator and SEC Assistant Computer Operator shall perform the following functions:

1. Maintain files of records (paper or electronic form) for Division, per SEC standards for records
maintenance. Update manual logs and/or other records on files
2. Prepare hard copy records for archival storage under SEC policies and procedures. Maintain, log-on
archival storage. Retrieve records from archival storage as needed by division staff. Assist in preparing hard
copy records for destruction as prescribed by law as well as SEC standards
3. Does typing, photocopying, collating, and binding division’s reports and other documents.
4. Answer division’s telephones calls and take down messages.
5. Perform such other functions as may be assigned by the Asst. Director/Department Director.
SEC ASSISTANT DIRECTOR
Salary Grade 25

Place of Assignment
 Financial Management Department – Budget & Fiscal Division (F-3a-1)

Qualification Standards
 Education
o Master's Degree or its equivalent; and Bachelor's Degree in any of the following:
 Accountancy
 Finance
 Economics
 Management
 Mathematics
 And other business-related courses
 Experience
o 5 years work experience in accounting position; and 4 years of which must be in a
supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Technical training on accounting, auditing, budgeting, financial management and
relevant training; and
 Other related supervisory/management learning and development intervention
 Eligibility
o Career Executive Service (CES) Eligibility
o Third Level Eligibility

Job Description
The SEC Assistant Director shall perform the following functions:

1. Assist the SEC Director on the daily activities of the Department.

2. Perform such other functions as may be directed by the SEC Director/ SEC Commissioner/SEC Chairperson

SEC CONFIDENTIAL ASSISTANT III

Salary Grade 13
Place of Assignment
 Financial Management Department – Office of the Director (F-3a)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in office management
 Training
o 8 training hours relevant to the job and other learning and development interventions relevant
to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Confidential Assistant III shall perform the following functions:

1. Maintain the Director's appointment schedule and handle arrangements and/or coordination as necessary.
2. Maintain the files, records, and correspondences of the department.
3. Prepare response to letters, memoranda, electronic mails, and reports if necessary.
4. Ensure receiving copies of documents and other confidential records to be appropriately filed.
5. Review and screen interdepartmental and intradepartmental communications and correspondences before
presenting to the Director.
6. Act as a general receptionist - answer phone inquiries and concerns, direct visitors to corresponding
divisions, and supervise activities of utility aides whenever applicable.
7. Act as a contact person, in behalf of the director, for other government agencies’ concerns and other
matters.
8. Perform such other functions (e.g. research) as may be directed by the Chairperson/Commission.

SEC ADMINISTRATIVE ASSISTANT II

Salary Grade 10
Place of Assignment
 Financial Management Department – Office of the Director (F-3b)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II shall perform the following functions:

1. Responsible for incoming and outgoing documents of the department and ensures their timely action (e.g.
routing of document for signatures).
2. Maintain the files, records, and correspondences of the department.
3. Prepare response to letters, memoranda, and electronic mails.
4. Ensure receiving copies of documents and other confidential records to be appropriately filed.
5. Act as a general receptionist - answer phone inquiries and concerns, direct visitors to corresponding
divisions, and supervise activities of utility aides whenever applicable.
6. Perform such other functions as may be directed by the Chairperson/Commission.

SEC SUPERVISING ADMINISTRATIVE OFFICER

Salary Grade 22
Place of Assignment
 Financial Management Department – Budget & Fiscal Division (F-3a-8-2013)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Public/ Business/ Office Administration
 Social/Behavioral Science
 Economics
 Engineering
 And other related disciplines
 Experience
o 4 years relevant/related experience in any or combination of the following: communication,
advocacy, counseling, preferably relating to corporate sector and capital market; and
o 2 years of supervisory/ management work experience
 Training
o 60 hours relevant training in any or combination of the following: capital markets,
corporation law, development communication, media relations, general management, and
other learning and development interventions relevant to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Supervising Administrative Officer shall perform the following functions:

1. Supervise the consolidation and reviewing of the proposed operating and financial plans, programs,
including proposed program increases and new initiatives submitted by various departments.
2. Supervise the examination of budget proposals for completeness, accuracy and conformance with
established government accounting practices and procedures.
3. Supervise the monitoring of budget by reviewing reports and accounting records to determine if
allocated funds have been spent as specified. Draft reports explaining the causes of such variations, along
with recommendations for new or revised budget procedures
4. Supervise and review the development of new guidelines and policies governing the formulation and
monitoring of the budget, and formulate long-range planning activities for future budgetary needs.
5. Assist the Commission in the Annual Budget Hearing, to faceplate its approval.
6. Assist the Assistant Director in all division plans and programs including preparation of the SEC Budget
Proposals.
7. Assist the Assistant Director in the supervision of the staff in the performance of daily functions.
8. Perform other functions as may be directed by the FMD Assistant Director/ FMD Director.
9. Perform the functions of the Assistant Director when on official business or official leave.
SEC ADMINISTRATIVE OFFICER II
Salary Grade 14

Place of Assignment
 Financial Management Department – Budget & Fiscal Division (F-3a-6)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Sociology
 Human Resources
 Psychology
 Management
 Economics
 Engineering
 Computer Science
 Accountancy
 Finance
 Mathematics
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records/ office management including electronic
records administration
 Training
o 16 hours relevant training in any or combination of the following: records management,
procurement law, CSC rules and regulations, general management, securities law, capital
markets, corporation law, and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Administrative Officer II shall perform the following functions:

1. Annual Preparation of Budget documents through online submission to DBM and submission of hard
copy to Senate and House of representatives.
2. Preparation of Letter requests for refund of filing fees and penalties to the Bureau of Treasury; and release
of Special Allotment Release Order (SARO), and Notice of Cash Allocation (NCA) for DBM.
3. Preparation of external correspondences.
SEC COMPUTER OPERATOR
Salary Grade 7

Place of Assignment
 Financial Management Department – Accounting Division (F-3b-8)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Computer Operator shall perform the following functions:

1. Responsible for pre-processing of Disbursement Vouchers and their supporting documents.

2. Monitor the index of payment.
3. Monitor the index of payment of payroll.
4. Scan processed Disbursement Vouchers and Liquidation Reports.
5. Assist in the preparation on Journal Entry Vouchers of SEC Extension Offices.
6. Assist in the preparation of Bank Reconciliation Statements.
7. Assist in the preparation of Tax Remittance Advices.
8. Assist in the preparation of Files Transaction Vouchers and transmitting the same to the Commission on
Audit.
SEC ASSISTANT COMPUTER OPERATOR
Salary Grade 6

Place of Assignment
 Financial Management Department – Accounting Division (F-3b-17-2017)

Qualification Standards
 Education
o 2 years of college or vocational course
 Experience
o 6 months relevant/related experience preferably on computer operation/encoding
 Training
o None
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Assistant Computer Operator shall perform the following functions:

1. Responsible for pre-processing of Disbursement Vouchers and their supporting documents.

2. Monitor the index of payment.
3. Monitor the index of payment of payroll.
4. Scan processed Disbursement Vouchers and Liquidation Reports.
5. Assist in the preparation on Journal Entry Vouchers of SEC Extension Offices.
6. Assist in the preparation of Bank Reconciliation Statements.
7. Assist in the preparation of Tax Remittance Advices.
8. Assist in the preparation of Files Transaction Vouchers and transmitting the same to the Commission on
Audit.
9. Help the Computer Operator in the receiving of documents for processing.
SEC ADMINISTRATIVE OFFICER II
Salary Grade 14

Place of Assignment
 Financial Management Department – Treasury Division (F-3c-4)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Sociology
 Human Resources
 Psychology
 Management
 Economics
 Engineering
 Computer Science
 Accountancy
 Finance
 Mathematics
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records/ office management including electronic
records administration
 Training
o 16 hours relevant training in any or combination of the following: records management,
procurement law, CSC rules and regulations, general management, securities law, capital
markets, corporation law, and other learning and development interventions relevant to the
functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Administrative Officer II shall perform the following functions:

1. Prepare list of Due and Demandable Accounts Payable - Advice to Debit Account (LDDAP-ADA) and
checks with Advice of Checks Issued (ACIC) for approved Disbursement Vouchers (DVs) upon availability of
Notice of Cash Allocation.
2. Monitor and record all payments in the Check Registers upon issuance LLDAP-ADA/Checks.
3. Maintain inventory of checks.
4. Submit all LDDAP-ADA and ACIC to Land Bank of the Philippines for release of payment to SEC Creditors
and SEC Employees.
5. Monitor cash bank balances and availability of Notice of Cash Allowance.
6. Prepare and submit weekly and monthly Financial Reports to SEC Budget and Fiscal Division, Accounting
Division and to the Commission on Audit (COA).
7. Prepare BillerDES for utilities payment like MERALCO, Maynilad, PLDT, etc. for LBP requirements.
8. Act as Liaison to Bureau of the Treasury (BTr) and LandBank of the Philippines.
9. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director.

The SEC Administrative Officer I & II shall perform the following functions:

1. Issue official receipts for the payment of filing fees, penalties, and other charges.
2. Prepare daily collection report.
3. Remit daily collections intact at the end of the day to the SEC Supervising Administrative Officer.
4. Maintain inventory of official receipts (computerized and manual), and reservation of stamps and pin
mailers.
5. Perform such other functions as may be directed by the SEC Assistant Director/SEC Director
SECURITIES EXAMINER III
Salary Grade 20

Place of Assignment
 Extension Office – Cebu (GXCe 5)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Law
 Accountancy
 Finance
 Business
 Economics
 Mathematics
 And other related disciplines
 Experience
o 3 years relevant/related experience preferably in policy formulation, rule making and market
supervision relating to the capital markets
 Training
o 40 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position, and other learning and development
interventions
 Eligibility
o Career Service (Professional) Second Level Eligibility
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Extension Office – Cebu (GCXe 15)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II of the Extension Offices shall perform the following functions:

(Cebu)
1. Monitoring
a. Assigned Monitoring – Monitor stock and non-stock corporations requested by clients.
b. Target Monitoring – Monitor stock and non-stock corporations registered on particular year.
2. Issuance of Show Cause letters to monitored corporations.
3. Reply to assigned letters.
4. Issuance of Certificates of Corporate Filing/Information
5. Issuance of Certificates of Non-Registration.
6. Printing of Certificates of No Derogatory Information (CIS-URDB)
7. Compliance to the Head Office Reports:
a. Input to the Budget Accountability Report (BAR);
b. Office/Department Performance Commitment and Review (OPCR) Form;
c. Monthly Accomplishments;
d. Inventory of Pending Tasks;
e. Submission of Quarterly FOI Registry;
f. PBB Eligibility Condition on Streamlining Process Improvement;
g. Internal Audit;
h. Any other reports as required by the Head Office and as assigned by the OIC.
8. Function as Property Officer:
a. Conduct physical Inventory count of Property, Plant and Equipment (PPE) and Unserviceable Assets;
b. Prepare Request for Repairs and Maintenance;
c. Prepare Request for Supplies;
d. Call Suppliers for Emergency Repairs.
9. Designated Petty Cash Custodian:
a. Payment of authorized petty or miscellaneous expenses;
b. Request for PCF replenishment as soon as disbursements reach at least 75% or as needed;
c. PCF check encashment at Landbank of the Philippines;
d. Prepare updated reports such as the Report on paid Petty Cash Vouchers and Petty Cash Fund Register
for FMD and COA.
10. Representative to the following:
a. Gender and Development (GAD) – Alternate;
b. TWG on sustainability reporting – Alternate;
c. Central Visayas Regional Statistics Committee (CV-RSC) – Alternate;
d. TWG member of the Bids and Awards Committee.
11. Assignment by the OIC-Director to other duties as the need arises:
a. Records In-Charge for Issuance of Certified True/Plain Copies;
b. Processing of Applications for Registration of CRS, OPC and Amendments;
c. Officer of the Day or Alternate Officer of the Day.
12. Collect filing fees, penalties and other collections due to the office; Issue corresponding official receipts;
Stamp payment on the corresponding documents.
13. Record official receipts; Prepare and transmit reports and communications.
14. Prepare daily summary of collection, deposit reports and deposit slips; Deposit collection to Philippine
Veterans Bank and Landbank of the Philippines.
15. Records desk-in charge.
16. Release and supervise the preparation of the requested reports from clients for authentication or plain
copies.
17. Prepare corporate folder of corporation for transmittal to the assigned personnel with request for
monitoring and letters received concerning the corporation.
18. Encode the newly made corporate folders that are transmitted to Records from Releasing.
19. Supervise the issuance of Certificate of Good Standing.
20. Supervise the attachment of submitted reportorial requirements to its corresponding corporate files.
21. Inspect Officer – review and inspect any item purchased by the supply, property and procurement officer.
22. Alternate Receiving Officer – receiving of reportorial requirements by walk-ins and encoding it to the SEC
Document Submission; receiving of newly approved amended articles of incorporation and/or by-laws;
amended partnership, increase of authorized capital stock, stock divided and other SEC approved
applications.
23. Substitute Processor – processes new CRS validated corporation/partnership for registration.
24. Draft letter reply and requested certifications.
25. Monitor domestic stock and non-stock corporations with requested monitoring.
26. Answer telephone calls or queries
27. And all other functions that the OIC deemed necessary.
SEC DIRECTOR II
Salary Grade 26

Place of Assignment
 Extension Office – Iloilo (GXIL 1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 7 years relevant/related work experience in corporate/partnership registration and securities
regulation; 5 years of supervisory/ management work experience
 Training
o 100 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and other learning and development
interventions
 Eligibility
o Career Executive Service (CES) Eligibility/ Career Service Executive Eligibility (CSEE)
o Third Level Eligibility
o RA 1080 (BAR)

Job Description

The SEC Director II shall perform the following functions:

1. Support the commission’s enforcement and regulatory responsibilities and goals.

2. Perform enforcement investigation/inspections in coordination with Compliance and Enforcement
Department.
3. Support work of Company Registration, Supervision and Monitoring Department.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Extension Office – Iloilo (GXIL 12)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II of the Extension Offices shall perform the following functions:

(Iloilo)

1. Receive reportorial requirements from corporations.

2. Verify CTCs of any requested documents filed with the SEC.
3. Prepare and assign certain basic documents or other materials for presentation/study as needed with
guidance/supervision and review by attorneys, examiners, specialists and analyst.
4. Collate and ensure safekeeping of documents (hard copy and electronic) prepared in the course of
processing within the division.
5. Record all proceedings and files the records per established SEC procedures.
6. Printing a Certificate of Registration of newly registered corporations (Stock/Non-Stock), Partnerships
(General/Limited/Professional Partnership), OPC, Less than 5 Corporations (Stock/Non-Stock), Amended AAI
(Stock/Non-Stock), ABL (Stock/Non-Stock), NBL, AAP (General/Limited/Professional Partnership), CICS &
10.1.
7. Track, encode & consolidate newly registered corporations (Stock/Non-Stock), Partnerships
(General/Limited/Professional Partnership), One Person Corporation and Less Than 05 Corporation.
8. Perform such other functions as may be directed by the Chairperson/Commission.

SEC DIRECTOR II
Salary Grade 26

Place of Assignment
 Extension Office – Davao (GXDa 1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 7 years relevant/related work experience in corporate/partnership registration and securities
regulation; 5 years of supervisory/ management work experience
 Training
o 100 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and other learning and development
interventions
 Eligibility
o Career Executive Service (CES) Eligibility/ Career Service Executive Eligibility (CSEE)
o Third Level Eligibility
o RA 1080 (BAR)

Job Description

The SEC Director II shall perform the following functions:

(Davao)

1. Support the Commission’s enforcement and regulatory responsibilities and goals.

2. Perform enforcement and investigation/inspections in coordination with the Enforcement and Investor
Protection Department (EIPD), the Corporate Governance and Finance Department (CGFD), the Office of the
General Accountant (OGA) and the Company Registration and Monitoring Department (CRMD).
3. Support work of Company Registration and Monitoring Department including reviewing and signing of
certificates and certifications and issuance of orders for petitions for correction and corporations found to
have 2 GIS in the same year.
4. Supervise the day-today operations of the extension office including compliance with QMS manual of
operations, CSC, ARTA and SEC rules and act as decision-maker on all concerns of the office.
5. Handle and address complaints from the public.
6. Represent the Commission in inter-agency meetings in its area of responsibility.
7. Grant interview to media.
8. Reply to all letters addressed to the extension office.
9. Interview and recommend applicants to vacant positions in the extension office.
10. Stand as witness in compliance with subpoena issued by competent court or authority.
11. Conduct lectures.
12. Perform other job-related duties as may be assigned by the Chairperson and/or the Commissio
SECURITIES COUNSEL II
Salary Grade 20

Place of Assignment
 Extension Office - Davao (GXDa 5)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/ Juris Doctor
 Experience
o 1 year relevant/related experience such as legal research and counseling, drafting of
pleadings, contracts, decisions, opinions, corporate documents; investigation/; processing
of corporate documents; interpretation of law.
 Training
o 48 hours relevant training in any or combination of the following: securities law, capital
markets, corporation law, general management, and other learning and development
interventions relevant to the functions of the position.
 Eligibility
o RA 1080 (BAR)

Job Description

The Securities Counsel II of the Davao Extension Office shall perform the following functions:

1. Act as Officer-in-Charge in the absence of the Director.

2. Process registration or amendment of Articles of Incorporation and/or By-Laws, and recording or
amendment of Articles of Partnership.
3. Process Petitions for Correction of entries in the Articles of Incorporation and/or By Laws.
4. Process and draft orders for Petitions to Lift Order of Revocation/Suspension, Petitions for Revocation or
Petitions for Inspection of Corporate Records.
5. Preside over clarificatory conferences and hearings and draft order/resolution on result of conference.
6. Conduct investigation as per instruction of the Director and prepare the corresponding report.
7. Conduct lectures/seminars to enhance public awareness of the capital market.
8. Attend court and administrative hearings pursuant to subpoena issued to DEO.
9. Give advisory assistance to the public.
10. Attend to requests as observer in stockholders’ and members’ meetings.
11. Serve as a member of the Bids and Awards Committee (BAC).
12. Update Monitoring ledgers of regulated entities and issues / sign show cause letters, when applicable.
13. Perform other job-related duties as may be assigned by the Director.
SEC CONFIDENTIAL ASSISTANT III
Salary Grade 13

Place of Assignment
 Extension Office – Davao (GXDa 2)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in office management
 Training
o 8 training hours relevant to the job and other learning and development interventions relevant
to the functions of the position
 Eligibility
o Career Service (Professional)
o Second Level Eligibility

Job Description

The SEC Confidential Assistant III of the Extension Offices shall perform the following functions:

(Davao)

1. Verify / reserve corporate & partnership names and business / trade names for the amendment process.
2. Prepare Certificates of Registration & Amendments, and Certificates of Correction.
3. Prepare data for CRS Registration Report for SEC Head Office.
4. Prepare monthly, quarterly and annual accomplishment reports of DEO.
5. Prepare SEC registration data requested by other government agencies;
6. Monitor / schedule business appointments of the Director.
7. Maintain / file records and correspondences of the Director.
8. Coordinate with the different departments of the Head Office on issues and concerns from DEO employees
and DEO clients.
9. Serve as member of the Bids and Awards Committee (BAC) Secretariat.
10. Perform other job-related duties as may be assigned by the Director.
SEC DIRECTOR I
Salary Grade 25

Place of Assignment
 Extension Office – Legaspi (GXLe 1)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 6 years relevant/related work experience in corporate/partnership registration and securities
regulation; 4 years of supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and other learning and development
interventions
 Eligiblity
o Career Executive Service (CES) Eligibility/ Career Service Executive Eligibility (CSEE)
o Third Level Eligibility
o RA 1080 (BAR)

Job Description

The SEC Director I shall perform the following functions:

(Legaspi)

1. Support the Commission’s enforcement and regulatory responsibilities and goals.

2. Perform enforcement investigation/inspections in coordination with Enforcement and Investor Protection
Department.
3. Support work of Company Registration and Monitoring Department.
4. Manage and supervise the daily operations and staff personnel records of the office.
5. Review and process applications for registration and sign certificate of registration, certificates of increase
of Capital Stock and other corporate filings.
6. In-charge of inventory of extension office properties.
7. Approval of Purchase/Work Orders and sign contracts not exceeding P100,000.00.
8. Monitor and supervise corporations within their area of jurisdiction.
9. Gather information and receive complaints related to violations of the Corporation Code of the Philippines
and the Securities Regulation Code and report/submit the same to the Enforcement and Investor Protection
Department and the Commission En Banc.
10. Represent the Commission in the Official functions in Region V.
11. Monitor compliance of setting aside Orders of Revocation.
12. Perform such other functions as may be assigned by the Commission from time to time.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Extension Office – Legaspi (GXLe 5)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility

Job Description

The SEC Administrative Assistant II of the Extension Offices shall perform the following functions:

(Legaspi)

1. Responsible in performing the Clerical/Frontline tasks.

2. Provide advisory assistance to the public e.g. filing of annual reports (GIS, AFS, and other special form),
registration and amendment of articles of incorporation, by laws, partnership, increase of capital & petition to
set aside of revocation or suspension.
3. Review/receive, encode, print barcode page and batch control sheet of reportorial requirements from
corporation e.g. annual reports (GIS, AFS, Special Forms and other documents).
4. Prepare and submit reportorial requirements to different SEC Departments and Offices.
5. Review the completeness of the application for registration (e.g. Articles of Incorporation, By-Laws,
Partnership, Amended Articles of Incorporation, By Laws, Partnership, Date of Assignment and Increase of
Capital) and officially stamp received/complies the said documents.
6. Responsible in performing the following Supply Officer tasks:
a. Perform all acts related to purchase/canvass of the office supplies and equipment
b. Perform all acts related to the maintenance of the office.
c. Perform such other functions as may be directed by the Director
SEC DIRECTOR I
Salary Grade 25

Place of Assignment
 Extension Office – Tarlac (TEO-1-2017)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 6 years relevant/related work experience in corporate/partnership registration and securities
regulation; 4 years of supervisory/ management work experience
 Training
o 80 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and other learning and development
interventions
 Eligiblity
o Career Executive Service (CES) Eligibility/ Career Service Executive Eligibility (CSEE)
o Third Level Eligibility
o RA 1080 (BAR)

Job Description

The SEC Director I shall perform the following functions:

1. Support the commission’s enforcement and regulatory responsibilities and goals.

2. Perform enforcement investigation/inspections in coordination with Compliance and Enforcement
Department.
3. Support work of Company Registration, Supervision and Monitoring Department.
SEC ADMINISTRATIVE ASSISTANT II
Salary Grade 10

Place of Assignment
 Extension Office – Tarlac (TEO-8-2017)

Qualification Standards
 Education
o Bachelor's Degree in any of the following:
 Public/Business/ Office Administration
 Management
 Sociology
 Human Resources
 Psychology
 Economics
 Engineering
 Computer Sciences
 And other social sciences courses and other related disciplines
 Experience
o 1 year relevant/related experience in records management including electronic records
administration
 Training
o 8 hours relevant training in general management, and other learning and development
interventions relevant to the functions of the position
 Eligibility
o Career Service (Sub-Professional)
o First Level Eligibility
SEC DIRECTOR II
Salary Grade 26

Place of Assignment
 Extension Office – Bacolod (BCEO-1-2018)

Qualification Standards
 Education
o Bachelor of Laws (LLB)/Juris Doctor
 Experience
o 7 years relevant/related work experience in corporate/partnership registration and securities
regulation; 5 years of supervisory/ management work experience
 Training
o 100 hours of training in any or all of the following supervisory/management learning and
development intervention undertaken within the last 5 years:
 Strategic Planning and Management;
 Managerial Leadership;
 Strategic and Critical Thinking;
 Strategic Decision-Making;
 Coaching and Mentoring for Leaders;
 Stress Management;
 Change Management;
 Monitoring and Evaluation/Results-Based Monitoring;
 Risk Management;
 Knowledge Management for Leaders;
 Project Development and Management and Monitoring;
 Performance and Results Management;
 Leadership Series;
 7 Habits of Highly Effective Government Leaders;
 Managers Role in Capacity Building;
 Succession Management;
 Supervisory Development Course/Program;
 Other related Leadership trainings; and other learning and development
interventions
 Eligibility
o Career Executive Service (CES) Eligibility/ Career Service Executive Eligibility (CSEE)
o Third Level Eligibility
o RA 1080 (BAR)