Escalations Manager (Registered) — Licensed Financial Services
- Function: Regulatory Escalations / Registered Supervisory Management
- Seniority: Manager
- Office Location: Five Neo, Taguig, Metro Manila
- Work Setup: On-site
- Employment Type: Full-Time, Permanent
About the Mandate
The client is a US multinational financial services institution with a licensed supervisory operations hub in Taguig. The Escalations Manager is a FINRA-licensed supervisory role responsible for managing escalated customer complaints across the enterprise in accordance with US financial regulatory disclosure requirements.
What the Role Involves
This role manages the end-to-end escalation cycle for registered customer complaints — a function that carries strict FINRA Form U4 disclosure obligations and cannot be performed remotely under US financial regulatory law. The Manager oversees dispute resolution workflows, compliance audit preparation, and team performance for the escalations group. The role requires an active FINRA Series 7 and 9/10 or 24 license — or a clear pathway to obtaining these.
Requirements
- Active FINRA Series 7 and either Series 9/10 or Series 24 supervisory license required — or demonstrated eligibility and commitment to obtaining these licenses.
- Experience in financial services escalations management, dispute resolution, or registered supervisory roles.
- Strong understanding of US financial regulatory frameworks, including Form U4 Section 14 disclosure requirements.
- Demonstrated ability to manage compliance audits and regulatory reviews in a structured, high-accountability environment.
- On-site availability at the Taguig office is a non-negotiable requirement of the role.