Head of Reception and Transmission Department & Investment Advice Department

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

Company Overview:

Hoxton Capital Management Europe Ltd is a Cyprus Investment Firm (CIF) registered under CySEC license number 432/23. The Company is related to Hoxton Wealth, which has offices in key locations including the United States, the United Kingdom, Dubai, South Africa, and Australia, and offers financial services with a focus on wealth management, tax efficiency and technology-driven solutions. Hoxton Wealth manages over £2.5 billion in assets under management (AUM) globally, and Hoxton Capital Management Europe Ltd contributes to this by providing personalized investment advice and cross-border financial planning tailored to each clients needs. Through its integration of innovative technology, the Company 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 Advise 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 the department personnel, their performance evaluation, and monitoring of their compliance with all the procedures and controls mentioned in the Company 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. In addition, it includes the supervision of the department personnel, their performance evaluation, and monitoring of their compliance with all the procedures and controls mentioned in the Company IOM.

Key Responsibilities:

· to be responsible for the provision of the investment service of the reception and transmission of orders in relation to one or more Financial Instruments,

· to monitor on a regular basis 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,

· to provide personal investment recommendations to clients, either on request, or on the Companys initiative, in relation to one or more transactions related to Financial Instruments,

· to monitor the performance of Financial Instruments included in the personal investment recommendations,

· to dispatch the personal investment recommendations and the periodic client reports, as applicable,

· to assist clients to fill the Investment Questionnaire for the establishment of the clients investment profile, financial needs and financial goals (Assessment of Suitability, subject to the Company IOM) and obtaining information through client interviews and correspondence, as applicable,

· to carry out investment analysis and market analysis, particularly,

o conducting in-house research by monitoring the financial markets, various Financial Instruments and the relevant economies

o accessing investment research material from third parties

o establishing and monitoring investment themes on the basis of scientifically acknowledged methods, which shall include specific Financial Instruments

o monitoring and drafting analysis on the performance and risks of investment themes

o drafting recommendations and suggestions to the Investment Committee / Board of Directors through the submission of the Investment Report, or as appropriate,

· to monitor the training provided by the Investment Advice Department to the personnel responsible for performing the Assessment of Suitability for each client,

· to 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 fair understanding of US SEC regulations, UK FCA regulation and AUS regulations.

· Proficiency in FE analytics, Y charts and Microsoft Office in particular 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.