JOB OPPORTUNITIES

Would you want to be a crusader against irresponsible lending and

irresponsible borrowing? Do you see yourself as a public servant committed to
fighting the good fight?
There are several vacancies in the Financing and Lending Company Division (FLCD). It is
the newly created division under the Corporate Governance and Finance Department (CGFD)
designated with the following functions:

• Monitor and enforce Financing Companies (FCs), Lending Companies (LCs)

compliance with the Financing Company Act, Lending Company Regulation Act,
Revised Corporation Code of the Philippines, Securities Regulation Code and SEC
Rules, as may be applicable.
• Provide recommendation and drafting of policy measures for the effective supervision
of financing and lending companies.
• Conduct workshops, seminars and roundtable discussions related to financing and
lending companies.
• Participate in congressional hearings on proposed bills related to financing and lending
companies.
• Participate in meetings or consultations with local and international agencies related to
financing and lending companies.
• Process requests for reconsideration of penalties imposed over financing and lending
companies.
• Handle complaints received against registered lending and financing companies under
its jurisdiction.
• Perform such other functions as may be directed by the Chairperson and
Commissioners.

SUPERVISING SECURITIES SPECIALIST (Item No. C-2d-3-2022)

SG 22

1. Oversee the process as required under the Securities Regulation Code and other laws
implemented by the SEC for specific actions/resolutions/orders in the conduct of
monitoring covered institutions as assigned by the SEC Director/SEC Assistant
Director.
2. Oversee and review results of monitoring compliance of personnel over covered
institutions. Propose sanctions and/or disciplinary actions to be taken as a result of the
findings. Issue related orders.
3. Propose to the SEC Assistant Director for approval of the SEC Commission en banc all
procedures related to the monitoring of compliance of covered institutions. These
include but is not limited to how supervision, regulation and monitoring are conducted,
and to determining if violations occurred.

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 4. Review the recommendation of SEC Securities Specialists on applications/requests of
covered institutions. Notify the SEC Assistant Director of suspected violations and/or
potential denials for further instructions on action to be taken.
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 of existing laws and
regulations to the SEC Assistant Director.
6. Review deficiency letters as directed by the SEC Assistant Director and coordinate with
other departments of the Commission. Performs follow-up work as necessary.
7. Perform such other functions as may be directed by the SEC Assistant Director/ SEC
Director.

SECURITIES COUNSEL II (Item Nos. C-2d-4-2022, C-2d-5-2022)

SG 20

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. He/she provides comments on applications,
requests and other filings made by covered institutions. Coordinates work with
department Securities Specialists and Examiners.
3. Perform legal analysis and prepares 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 SPECIALIST III (Item No. C-2d-6-2022)

SG 20

1. Assist the Supervising Securities Specialist in overseeing the monitoring compliance of

processors/specialists/examiners of covered institutions to ensure compliance with SEC
regulations.
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 with the laws, rules and regulations implemented by the Department.
Research complaints against covered institutions. Document monitoring and research
to covered institutions on file. Notify SEC Assistant Director of suspected violations.

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 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. Assists in the completion of a report to the 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 violations to the SEC
Assistant Director.
7. Assist 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 (Item Nos. C-2d-7-2022, C-2d-8-2022, C-2d-9-2022)

SG 19

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. Researches complaints against covered institutions. Documents 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 coordinate 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. Assist in responding 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.

HOW TO APPLY

Interested applicants should submit their application letters with resume’ addressed to:

CHAIRPERSON EMILIO B. AQUINO

Thru: Director Filbert Catalino F. Flores III
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 Securities and Exchange Commission
The SEC Headquarters
7907 Makati Avenue, Salcedo Village, Bgy. Bel-Air
Makati City

Along with their Personal Data Sheet (PDS) with Work Experience Sheet downloaded from
CSC website (csc.gov.ph) with recent passport size picture; Photocopy of certificate
of eligibility from CSC; and Photocopy of academic transcript of records. They can submit
their application letters and other attachments via these e-mail addresses:
mcdacillo@sec.gov.ph and malmedina@sec.gov.ph.

Please Note: Indicate in the email subject the position you are applying for, e.g. “For: Chief
Counsel…”

The FLCD work station is at the 8th Floor, SEC Headquarters, 7907 Makati Avenue, Salcedo
Village, Barangay Bel-Air, Makati City [September 2022].

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