Assistant Manager Operations Risk and Administration

Job description

HSBC is Canada's leading international bank – there is no one like us in this market.

Our ability to bring our global experience and perspective to evolving trends and issues in Canada has been a tremendous benefit to our clients. With our offer of unique banking solutions, as well as an extensive global network, no one is better placed to support internationally minded individuals and businesses.

HSBC helps companies and individuals across Canada to do business and manage their finances internationally through three global business lines: Commercial Banking, Global Banking and Markets, and Wealth and Personal Banking.

It's through this global connectivity that you will find yourself inspired, collaborating with colleagues not just locally but also across continents and cultures.

Wealth and Personal Banking

We help clients to manage, protect and grow their wealth. We offer a range of services from personal banking, mortgages and loans to investment, savings and wealth management products. Our international network and breadth of expertise enables us to support individuals, families, business owners, investors and entrepreneurs around the world.

Key Objectives for Assistant Manager Operational, Risk and Administration:

To provide operational and administrative support and quality standards to the Retail Banking and Wealth Management business, ensuring risk elements are identified and mitigated. Overall nature of work is moderately complex and performs activities that are straightforward and similar in nature.

In small–medium community branch and / or assigned spoke or buddy branch this position is expected to oversee and specifically manage compliance and risk related activities, ensuring elements are identified and mitigated for entire branch team (referred to as Branch Compliance role).

Principle Accountabilities:
· Identify understand and anticipate customer needs in order to provide effective, efficient and timely customer service and support.
· Act as a primary point of contact for more complex operational inquiries involving internal and external parties.
· Primary HSBC Investment Funds (Canada) Branch Manager role supervises the mutual fund sales business conducted within the branch (approve new accounts and monitor trading activity) and act as the primary point of contact for mutual fund customer inquiries requiring escalation.
· Ensure customer expectations are exceeded in terms of speed, efficiency, certainty and professionalism either face to face or through an alternate channel.
· Oversee, and monitor customer complaints and where possible handles resolution appropriately and or escalate complex or unusual issue to higher levels
· Responsible for training and development in relation to Know Your Client (KYC) processes, policies, activities and reporting on behalf of functional area and / or branch.
· Deliver fair outcomes for our customers and ensure own conduct maintains the orderly and transparent operation of financial markets.
· Lead, promote and engage in team-based approach in anticipating and managing customer needs.
· Lead, engage and promote the culture of Treating Customer Fairly in the team
· Provide staff performance reviews on quarterly basis to identify areas for improvement.
· Provide training and development to others as related to operational and risk activities.
· Provide open access for employees and customers to build rapport, discuss issues, and resolve concerns.
· Responsible for overseeing team / functional area.
· Recommend hires or hires appropriately, leverages the talents of the team, identifies potential leaders from the team, and takes corrective action where necessary.
· Participate in business development programs within area of specialty to enhance product knowledge.
· Actively refer customers to other areas of HSBC where appropriate.
· Demonstrate HSBC Group Leadership capabilities and HSBC values and behaviours.
· Promote an environment that supports diversity and reflects the HSBC brand.
· Provide input to Branch Manager to assist with leading and developing an effective team through communication, performance management, development plans and reward/recognition practices. Cultivate an environment that supports diversity and reflects the HSBC brand.
· Ensure that all employees are aware of and effectively identify and manage applicable money laundering (ML), terrorist financing (TF), sanctions and reputational risks.
· Complete other responsibilities, as assigned.

Desired profile

Qualifications :

Knowledge & Experience / Qualifications:
·  University / College degree or equivalent work experience.
·  Requires industry-specific courses to serve as primary or back-up HSBC Investment Funds Canada Branch Manager. To serve as primary HSBC Investment Funds (Canada) Branch Manager the incumbent requires:
·  Proficiency requirements*
·  2 years experience selling mutual funds
·  Registerable as the Branch Manager under the applicable securities legislation
·  Ability to work independently.
·  2 - 3 years of related work experience.
·  Ability to lead and guide others
·  Advanced problem solving skills to resolve issues within own functional area.
·  Advanced communication and customer service skills.
·  Advanced interpersonal skills to support the building of strong relationships with diverse groups of people.
·  Advanced knowledge of HSBC's products / services.
·  Advanced knowledge of HSBC's policies, practices, procedures and systems within own area. For compliance related function: must have excellent knowledge of HSBC policies, practices relating to compliance and risk.
·  Advanced understanding of legislation and regulations as they apply to own area.
·  Willingness to be mobile in local area.
·  Proficiency in any one of the below courses/certification is an asset:
·  Canadian Securities Course;
·  Canadian Investment Funds Course;
·  or Investment Funds in Canada AND the Branch Manager Course offered by Canadian Securities Institute or investment Funds In Canada; or
·  A Branch Compliance Officers Course offered by Investment Funds Institute of Canadian Bankers.
·  World Selection Portfolio certification (training provided by HSBC Global Asset Management Canada).
·  Experience assisting with the performance management of direct reports through a performance management process.
·  Ability to manage multiple projects with multiple deadlines.
·  Aware of and understands how own area of the business performs (e.g., is profitable, conserves costs, etc.).
·  Ability to speak / understand a second language is an asset.
HSBC Proud

As a business operating in markets all around the world, we believe diversity brings benefits for our customers, our business and our people. This is why HSBC Canada is committed to being an inclusive employer and encourages applications from all suitably qualified applicants irrespective of background, circumstances, age, disability, gender identity, ethnicity, religion or belief and sexual orientation.

If this is not the ideal role for you, we invite you to sign up to our talent community so that we can update you about job opportunities and career events in your area of interest. We are always looking for people with purpose and ambition who can help us build the bank for the future.

We're doing our part to safeguard our customers and employees health, and taking extra steps to reduce the spread of COVID 19, including:

·  Enhanced daily cleaning to all our branches, with increased attention to high-touch areas
·  Personal protective equipment and hand sanitizers provided throughout our branches
·  Plexiglass shields at every counter
·  Floor markings to help customers keep social distance when lining up
·  Adherence to self-isolation requirements per government guidelines

We encourage all Indigenous peoples of North America and Persons with Disabilities to self-identify in their applications. In addition, we invite you to reach out to Matt Woods, our Diversity Recruitment Relationship Manager at matthew.r.woods@hsbc.ca for support during the selection process.