JOB OPPORTUNITIES

The Enforcement and Investor Protection Department (EIPD) of the Securities and
Exchange Commission (SEC) is looking for applicants for the following position:

SECURITIES COUNSEL III (SG-20) : EDUCATION: Bachelor of Laws; ELIGIBILITY: RA 1080

(BAR); TRAINING: 24 hours of relevant training; EXPERIENCE: With at least two (2) years
experience in the practice of law such as litigation, legal research, drafting of pleadings,
contracts, decisions, opinions, interpretation of laws, preparation of corporate documents;
Willing to learn the intricacies of the capital markets; Several vacancies.

WHAT DOES EIPD DO?

The Enforcement and Investor Protection Department ensures compliance by all market
participants, issuers and individuals, and takes appropriate enforcement action against them
for legal infraction of the Securities Regulation Code and other relevant laws, rules and
regulations administered by the SEC.

EIPD investigates, motu proprio or upon compliant or referral, violations of laws and rules and
regulations being enforced by the SEC; Initiates the issuance of a Cease and Desist Order
(CDO) by the Commission En Banc; Prepares and files necessary pleadings as required in
administrative and criminal cases handled by EIPD; Files with the Commission En Banc
petitions for revocations and other administrative actions; Files with the Department of Justice
criminal complaints upon prior approval of the Commission En Banc; Attends court hearings
and hearings before the OGC; Attends stakeholders`/member`s meetings as SEC observers;
Conducts market surveillance of the trading of securities in the Exchanges and ensures
compliance of market participants and intermediaries with Sections 24, 26 and 27 of the SRC
and its IRR and in pursuance thereof, coordinates with SROs (PSE, PDEx & CMIC), market
participants (TPs, IH, TAs PDTC, etc. ) and other law-enforcement agencies (NBI, PNP-CIDG,
AMLC, etc.); Acts as the Anti-Money Laundering Desk of the SEC and acts on all requests
made by the AMLC pursuant to SEC-AMLC MOA; Acts on request for assistance from
International Organization of Securities Commissions (IOSCO) members and other foreign
securities regulators; Represents the SEC on all matters relating to IOSCO, NALECC and
other related organizations particularly the concerned law enforcement agencies and its
subcommittees; Attends and renders assistance to walk-in and e-mail complainants; Provides
investors assistance, developers and undertakes programs to promote investor protection
including the issuance of advisories;
Acts as resource person for investors and other government agencies; Acts on all Settlement
Offers of corporations subject to penalties and other administrative sanctions; Issues Orders
for the imposition of fine and/or other administrative penalties.

HOW TO APPLY: Interested parties should address their application letters with resume to
Atty. Jose P. Aquino, Director, Enforcement and Investor Protection Department, Securities
and Exchange Commission, North Wing, Ground Floor, Philippine International Convention
Center (PICC) Secretariat Building, Roxas Boulevard, Pasay City.

They can submit their application letters via e-mail addresses:

jose.aquino@sec.gov.ph ; ptdelmundo@sec.gov.ph
[posted January 18, 2017]