Head of Reception & Transmission Department & Investment Advice Department

Job Title: Head of Reception & Transmission Department & Investment Advice Department

Company Overview:

Our client is a Cyprus Investment Firm (CIF) registered under CySEC license number 432/23. The firm is related to another entity with offices in key locations including the United States, the United Kingdom, Dubai, South Africa, and Australia, offering financial services focused on wealth management, tax efficiency, and technology-driven solutions. Our client manages over £2.5 billion in assets under management (AUM) globally, providing personalized investment advice and cross-border financial planning tailored to each client's needs. Through its integration of innovative technology, our client is committed to helping clients achieve long-term wealth growth and preservation.

Role Overview:

The role of the Head of Reception and Transmission Department & Investment Advice Department is dual:

• In relation to the Reception and Transmission Department, the role includes responsibility for providing and supervising the provision of the investment service of reception and transmission of orders in relation to one or more Financial Instruments. In addition, it includes the supervision of department personnel, their performance evaluation, and monitoring of their compliance with all the procedures and controls mentioned in our client's IOM.
• In relation to the Investment Advice Department, the role includes responsibility for providing and supervising the provision of the investment service of investment advice. Additionally, it includes the supervision of department personnel, their performance evaluation, and monitoring of their compliance with all the procedures and controls mentioned in our client's IOM.

Key Responsibilities:

• Responsible for the provision of the investment service of the reception and transmission of orders in relation to one or more Financial Instruments.
• Regularly monitor the effectiveness of the investment service policy established and, in particular, the execution quality of the entities identified in that policy and, where appropriate, corrects any deficiencies.
• Provide personal investment recommendations to clients, either on request, or on our client's initiative, in relation to one or more transactions related to Financial Instruments.
• Monitor the performance of Financial Instruments included in the personal investment recommendations.
• Dispatch personal investment recommendations and periodic client reports, as applicable.
• Assist clients in filling the Investment Questionnaire for establishing their investment profile, financial needs, and financial goals (Assessment of Suitability, subject to our client's IOM) and obtaining information through client interviews and correspondence, as applicable.
• Conduct investment analysis and market analysis, including:
• In-house research by monitoring financial markets, various Financial Instruments, and relevant economies.
• Access investment research material from third parties.
• Establish and monitor investment themes based on scientifically acknowledged methods, including specific Financial Instruments.
• Monitor and draft analysis on the performance and risks of investment themes.
• Draft recommendations and suggestions to the Investment Committee / Board of Directors through the submission of the Investment Report, or as appropriate.
• Monitor the training provided by the Investment Advice Department to personnel responsible for performing the Assessment of Suitability for each client.
• Support ad-hoc projects, regulatory examinations/inspections, and firm-wide compliance initiatives as needed.

Qualifications and Requirements:

• A bachelor's degree in finance or a related discipline with a preference for an MBA from reputable universities.
• Professional certifications (e.g., CySEC Advanced, mandatory; UK Level 4 Diploma in Investment Advice or CFA) including candidates pursuing these certifications.
• Minimum of 4 years of experience in a relevant role within the financial services sector, ideally in wealth management or financial advisory. Proven experience in portfolio management/construction is essential.
• In-depth knowledge and experience in UK and US pensions and their cross-border tax treatment is essential.
• A commanding understanding of international investment products, including their key features, costs, and benefits.
• In-depth knowledge of MiFID II regulations, including suitability assessments, and a fair understanding of US SEC regulations, UK FCA regulation, and AUS regulations.
• Proficiency in FE analytics, Y charts, and Microsoft Office, particularly advanced skills in Excel, and familiarity with Bloomberg, Factset, and document management systems.
• Strong analytical skills with a keen attention to detail.
• Excellent English communication skills and the ability to deliver constructive feedback and collaborate across teams.
• Self-motivated with the ability to manage workload effectively in a fast-paced, deadline-driven environment.
• Demonstrated commitment to professional ethics, integrity, and confidentiality.