Operations Officer - Document Control

Job description

Role Purpose
Account on-boarding of new customers, new relationships product and services.
Account on-boarding of existing customers. Provide Maintenance Service for material changes for existing accounts.
Static Data Changes on existing clients.
Perform Credit Certification for ULOCs and other Credit Facilities.
Support Business and Operations on on-going projects as requested.
Impact on the Business
Conduct account documentation analysis, reviews for new accounts and perfom account maintenance.
Receive e-files from the front office which contain HSBC account applications companied by various support documents for new and existing clients.
Review documentation for new accounts for all structures (personal, corporate, limited liability company, partnerships, non profit organizations, trusts, foundations, banks) according to Regulation K, Bank policies and procedures.
Specializes in the review of Complex Structures of Corporate, Trust and Deceased Accounts. Updates CRM for any Data changes to Client Profiles.
Updates Document Tracking and prepares documents for imaging.
Using knowledge of regulatory laws, the Account Officer assess if the documents provided meet the requirements to open an account for the client.
The Account Officer completes a template with their recommendations, and submits the full package to the 2nd line of defense area – Anti Money Laundry Team. Once AML signs off after doing their own due diligence, the Account Officer then sets up the account in all the various systems.
The Account Officer also reviews, approve and update Private Bank book and record systems when there are changes to in corporate structures such as change in ownership, name changes due to mergers, acquisitions, other entity updates, which require additional due diligence and approvals.
They work with AML, Front Office, and other areas as necessary during the whole process.
The Account Officer also performs a review of documents provided at account opening to fulfill a Credit Certification for ULOCs and other Credit Facilities requested.
The Account Officer provide a high quality of customer service and support to the divisions of the Private Bank while adhering to our risks and guidelines.
Responsible for ensuring compliance with various banking regulations, policies and procedures.
Customers / Stakeholders
Ensure prompt resolution of all customer service related issues.
Effectively manage Risk in Service Delivery and organization while ensuring adherence to all regulatory and compliance requirements.
Leadership & Teamwork
Lead and develop an effective team through communication, performance management, development plans and reward/recognition practices.
Promote an environment that supports diversity and reflects the HSBC brand.
Support PB Operations and Front Office regarding any client inquiries.
Operational Effectiveness & Control
To implement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with regulators.
Minimize Operating Losses “ID & V” Client’s names against various databases such as World-check, Reg O in order to comply with Regulatory and Bank’s new Global Standards derisking initiative.
Role Context
Reports to DCT Managers, Private Bank.
Involves multi-team management in a fast paced enviorment that requires sound decision making, flexibility, and strong leadership.
Has direct interface and daily correspondence with all levels of management, group functions, and various part of the business
Management of Risk
Ensure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues.
Observation of Internal Controls
Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
Role Dimensions
Ability to work and communicate well with various lines of business and management.
Self motiviation and demonstration of iniative.
Ability to juggle multiple priorities while respecting tight deadlines.

Desired profile

Working Knowledge of banking, operational processes, procedures, compliance, policies and applications.
Knowledge of the Anti-money Laundering Policy.
Ability to write, implement and make policy recommendations.
Ability to handle escalated operational concerns.
Analytical and problem solving, decision making, communication and follow-up skills.
Working knowledge of computer software; Word, Excel, Microsoft, Power Point, Access Databases.
Ability to work in a team environment to deal with all levels of personnel in a courteous, efficient matter.
Self-Motivated, dependable and able to meet deadlines.
Strong organizational and analytical skills.
Must be multi-tasked to be able to work in a fast pace and changing environment.
Must process the ability to work independently.
Working knowledge of all source systems ( CRM, HBUS-CIF,NetX360, ADP, OBAS, Bimas, Filenet).
Able to read, write and speak Spanish is a plus.
EEO/AA/Minorities/Women/Disability/Veterans