Job Title: Head of Investment & Securities

Job Level: L7-A

Job Type: Full Time

Location: Makati | On-site

About the Role

The Head of Investment & Securities is a strategic leadership position responsible for driving revenue growth through investment securities management, business development, and client acquisition. This role leads and inspires cross-functional teams while ensuring operational excellence and regulatory compliance.

The ideal candidate will have extensive experience in the brokerage and securities industry, a strong understanding of the Philippine market, and an established professional network. They will leverage their track record of strategic leadership to identify market opportunities, enhance the firm’s competitive positioning, and maintain a client-centric approach to deliver sustainable growth.

Key Responsibilities

A. Strategic Leadership & Business Development

• Provide visionary guidance on sales and market expansion strategies aligned with the company’s long-term goals.
• Monitor industry trends, market developments, and competitor activities to identify opportunities for growth.
• Collaborate with the executive team to develop business plans that comply with regulatory, governance, and risk management standards.
• Leverage networks and strategic partnerships to acquire new clients, expand market share, and diversify revenue streams.
• Drive initiatives to enter new market segments and broaden the client base.

B. Market Representation & Brand Advocacy

• Serve as the company’s spokesperson at conferences, seminars, media engagements, and industry events to strengthen brand visibility.
• Deliver keynote presentations, participate in panel discussions, and support marketing campaigns to highlight the firm’s value proposition.
• Cultivate and maintain relationships with industry leaders, regulators, and stakeholders to foster strategic alliances and business opportunities.

C. Regulatory Compliance & Corporate Governance

• Ensure strict compliance with Philippine laws and regulations governing brokerage and financial services (e.g., SEC, PSE, AMLC).
• Serve as an authorized signatory and maintain effective communication with regulatory agencies.
• Promote a culture of compliance and ethical practices across the organization.

D. Risk Management & Confidentiality

• Uphold confidentiality and integrity in all sensitive transactions.
• Monitor and report compliance risks, suspicious activities, or operational concerns.
• Participate in internal audits, risk assessments, and reviews related to nominee functions and client confidentiality.

E. Industry & Market Intelligence

• Maintain deep knowledge of brokerage operations, market trends, and regulatory changes.
• Stay informed of emerging practices that could impact strategic positioning.

F. Cross-Functional Coordination & Internal Communication

• Collaborate with Legal, Compliance, Corporate Secretary, Operations, and other teams to integrate sales strategies with corporate activities.
• Support client onboarding, KYC, and documentation compliance processes.
• Ensure timely and accurate reporting of sales, client acquisition, and nominee-related activities.

Qualifications

• Bachelor’s degree in Business Administration, Finance, Economics, or related field; MBA preferred.
• Minimum 10 years of progressive experience in brokerage or securities, preferably in the Philippine stock market.
• Proven leadership experience in stock brokerage operations.
• SEC certifications (Certified Securities Representative) preferred but not required.
• Strong understanding of Philippine capital markets, investor behavior, and brokerage operations.
• Exceptional communication, negotiation, and interpersonal skills.
• Results-driven with strategic thinking and strong business acumen.