Joey Pineda is a Licensed Associated Person with over 16 years of comprehensive experience in the Philippine stockbrokerage industry, specializing in backroom operations, regulatory compliance, and risk management. His career spans key roles in leading brokerage firms, where he has developed a proven track record in optimizing operational efficiency, ensuring regulatory adherence, and implementing robust compliance systems.

Professional Expertise & Leadership Roles

As a member of Wecap Financial, Inc.’s Compliance Team, Mr. Pineda plays a pivotal role in upholding the firm’s adherence to regulations set by the Securities and Exchange Commission (SEC), Philippine Stock Exchange (PSE), Capital Markets Integrity Corporation (CMIC), and Anti-Money Laundering Council (AMLC). His expertise includes:

• Regulatory Compliance & Risk Mitigation: Designing and monitoring systems to ensure seamless compliance with trading rules, AML protocols, and audit requirements.
• Operational Excellence: Streamlining backroom processes to enhance accuracy and efficiency in trade settlements, reporting, and client transactions.
• Audit Leadership: Previously serving as Audit Team Leader at Guild Securities, Inc. (2012–2024), where he maintained a flawless compliance record with zero penalties or violations during his tenure.

Career Highlights

• First Orient Securities, Inc. (1997–2004): Began his career as Trading Floor Personnel, Cash Flow Manager, and Accounting Assistant, gaining hands-on experience in frontline and back-office operations.
• Guild Securities, Inc. (2012–2024): Served as IT Officer, Acting Associated Person, and Compliance Officer, where he developed internal controls and was the primary contact for regulatory bodies.
• Wecap Financial, Inc. (Present): As part of the Compliance  and Operations Team, he strengthens the firm’s governance framework and safeguards client interests.

Certifications & Credentials

• Licensed Associated Person (Securities and Exchange Commission)
• Registered Primary Designated Officer (AMLC), overseeing Cash Transaction Reports (CTR) and Suspicious Transaction Reports (STR)
• Certified Data Privacy Officer (National Privacy Commission)
• DOLE-Accredited Basic Occupational Safety & Health (BOSH) Officer

Education

• Bachelor of Science in Business Administration, University of Santo Tomas (UST)
• Regular participant in SEC, PSE, and AMLC training programs to stay abreast of evolving regulations.

Mr. Pineda’s deep operational knowledge, compliance acumen, and proactive problem-solving skills ensure that the firms he serves operate with unmatched integrity and regulatory precision. His career reflects a steadfast commitment to protecting client assets and upholding the highest standards in the securities industry.