WPB Sales Quality Analyst

Job description

Job description

Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We’re bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world – for our customers, our people, our investors, our communities and the planet we all share.

The US Wealth and Personal Banking (WPB) Sales Quality Analyst role is within the First Line of Defense and responsible for assessing whether the customer outcomes for product sales are in line with HSBC’s internal standards and regulatory requirements. The role reports to the Head of US WPB Sales Quality and Conduct and is part of the team responsible for ensuring the bank aligns to delivering a high quality and robust service for our clients.

 

The US WPB Sales Quality Team focuses on testing suitability for mass-affluent and High Net Worth international clients across various complex investment products and mortgages.

As our Wealth and Personal Banking Sales Quality Analyst you will:

·  Assess and check the quality of advice evidenced in the documentation received from the Front Office (Wealth Relationship Managers, Investment Counselors, Product Specialists and Mortgage Consultants). Review documentation to ensure it complies with industry standards, and with HSBC internal policy and procedure requirements, as well as local regulatory obligations
·  Conduct customer Call Backs to ensure we are placing our customers in appropriate products, suitable to their individual needs
·  Produce reporting and Management Information to Sales Quality and wider WPB senior management on the activities undertaken by the Sales Quality team
·  Produce reporting on Conduct related activities and Conflict of Interest register for WPB

For this role, HSBC targets a pay range between $86,700.00 and $130,100.00

The final fixed pay offer will depend on the candidate and a number of variables, including but not limited to, role responsibilities, skill set, depth of experience and education, licensing/certification requirements, internal relativity, and specific work location.

At HSBC, our overall goal is to provide a competitive Total Reward Package, with an appropriate mix of fixed pay, and variable pay, as part of an employee’s overall total compensation and benefits. Variable pay generally takes the form of discretionary, annual awards (sometimes referred to as a “bonus”). Additionally, HSBC offers a wide range of competitive and flexible benefits designed to help you improve your health and well-being, finances, and lifestyle.

Requirements

You´ll likely have the following qualifications to succeed in this role:

·  Minimum of a bachelor’s degree with 1 - 3 years’ equivalent experience.  Background in Banking, risk management and / or internal audit; Audit, Risk or Compliance professional designation preferred
·  Knowledge of Financial Services/industry/products/regulation
·  Series 66 (or 65 + 63) and 7 licenses required
·  Bi-lingual Spanish is required or Portuguese preferred
·  Life, Accident and Health Licenses preferred
·  Analytical and review skills with the ability to draw the correct conclusions from reviews, knowledge on Excel is preferred
·  Time management and organization skills with the ability to prioritize and multi-task
·  Understand and ensure compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business
·  Ability to work professionally with various levels of staff and management, strong teamwork & sound judgment, keen sense of urgency and initiative, and high level of professional and personal integrity
·  Written and oral communication and presentation skills, including the ability to deliver clear and accurate messages to management

In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the U.S. Applicants must be legally authorized to work in the U.S. as HSBC will not engage in immigration sponsorship for this position.

As an HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package including a robust Wellness Hub, all in a welcoming, diverse and inclusive work environment. You will be empowered to drive HSBC’s engagement with the communities we serve through an industry-leading volunteerism policy, a generous matching gift program, and a comprehensive program of immersive Sustainability and Climate Change Initiatives. You’ll want to join our Employee Resource Groups as they play a central part in life at HSBC, including the development of our employees and networking inside and outside of HSBC. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank of the future!

All qualified applicants will receive consideration for employment without regard to age, ancestry, color, race, national origin, ethnicity, disability or medical condition, genetic information, military or veteran service, religion, creed, sex, gender, pregnancy, childbirth, caregiver status, marital status, citizenship or immigration status, sexual orientation, gender identity or expression or any other trait protected by applicable law.