First Metro Securities Brokerage Corporation

Job Purpose The main purpose is to continuously evaluate FirstMetroSec’s procedures in order to identify weaknesses therein and the provision of recommendations and corrective actions to improve such system to ensure regulatory compliance. Major Responsibilities Performs compliance functions in accordance with the Compliance Manual or Written Supervisory Procedures. Assists in the implementation of the Compliance Program/Plan/Matrix; supervises other employees, agents, salesmen, officers, directors and other controlling persons of the FMSBC for regulatory compliance Assists in the dissemination of laws, regulations, rules, standards and other regulatory requirements; Attends briefings/orientations conducted by Compliance Division organized by FMIC and Metrobank; Reviews, assesses and performs independent testing of the Unit's (FMSBC) compliance to laws, regulations, rules, standards and other regulatory requirements, such as BSP/SEC/PSE/CMIC/SCCP/AMLC among others; documents and reports the results of testing; Coordinates with regulators (including SROs) and other authorities Performs functions as Audit Point Person (Internal and External). Provides an active advisory service to personnel in his Unit pertaining to laws, regulations, rules, standards and other regulatory requirements; Provides reports to management of occurrences of material non-compliance by the FMSBC or its staff with legal and regulatory requirements, as well as the FMSBC's own policies and procedures Facilitates the submission of data/info requirements to BSP/SEC/other regulators and/or responds to regulatory queries; Tracks changes in regulatory requirements Facilitates the drafting of Report on Crimes and Losses and Suspicious Transaction Reports (not originating from automated AML Monitoring System alerts) when needed and submits to Compliance Management Department for review, finalization and submission to BSP/SEC/AMLC. Ensures that all salesmen of the FMSBC are registered and that the Commission is notified when any salesman is no longer employed by the FMSBC Ensures that there is an audit trail which enables compliance with applicable laws, Exchange, clearing agency and other SRO rules Complies with internal and external policies and regulations. Performs other responsibilities that may be assigned.

Job Purpose Conduct research to provide fund managers, high net worth, and online clients with complete up-to-date and reliable information which may be used as basis for stock market investment decisions Major Responsibilities • Examines and explores investment ideas through company visits, interviews with management teams, survey organizational processes and operations. • Monitors local and international political and economic news which may affect the capital markets. • Compares various securities of a given industry and provides an assessment of their relative quality. Evaluates the current market price of a security in terms of its value as an investment and provides recommendation to customers and fund managers. • Assesses how industries are affected by new products, new processes and competition. • Analyzes past performance and financial position of companies, dividend records, capital structure and effectiveness of management. • Provides reports, valuations statistics and advice to customers and fund managers. • Interacts with other analysts to gain market information valuable to investment decision making. • Participates actively in local organizations and networks with industry participants in order to foster goodwill, generate top of mind awareness, remain updated on industry news and respond quickly to industry developments. • Complies with internal and external policies and regulations.

Job Purpose: Responsible for managing property and records of the company. Major Responsibilities: • Manage the company’s assets and properties including monitoring of assignments and ensuring proper disposal in compliance with company policies. • Facilitate the efficient transfer of the title / ownership of company assets acquired and disposed of in the name of the company. • Facilitate the timely renewal of company insurance, licenses, permits and registrations including all company assigned assets. • Maintain a well-organized storage for both records and assets. • Maintain an accurate database of all company assets and records. • Assist in the implementation and maintenance of both physical and electronic records based on established policies and procedures. • Ensure an organized records retention program in compliance with regulatory requirements based on approved policies and procedures. • Assist in compliance with regulatory requirements, as needed.