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Within Retail Banking and Wealth Management, Broking Services provides full investment services in stocks, bonds, currencies, precious metals, commodities and derivatives to retail, corporate customers and financial intermediaries.
As a leading full service broker dealer in Hong Kong, our investment services include advisory, execution, risk and portfolio management, custodianship, and margin financing.
We are currently seeking a high caliber professional to join our team as Sales Quality Manager .
Facilitate the development and implementation of the HSBC Broking Services Sales Quality Framework, enhance the Group's controls on client trades to mitigate risks such as unethical transactions, trade errors, frauds, other improper activities and so on
Monitor prevailing and emerging risk issues related to client trades within the HSBC Broking Services business
Develop and implement control measures to mitigate such risks after consultation with the relevant subject matter experts and risk stewards, escalate key risk issues identified to senior management and provide timely updates on actions taken to mitigate such risks
Implement risk mitigation and remediation actions as agreed by HSBC Broking Services senior management, identified through observations from the aforementioned controls and various reviews to ensure risks related to client trades are effectively mitigated
Design, enhance and manage regular reports to benchmark the performance and effectiveness of sales quality controls to senior management in a timely manner
Liaise with frontline management and other support functions in investigating internal and external complaints regarding sales and services practices with sales staff involvement
Contribute to the ongoing improvement of the qualitative checking process and tools
Support functional duties in the implementation of sales quality related projects or initiatives
University degree in Business, Finance or related discipline
Solid experience in wealth management, such as front office, support and control roles
Previous experience in trade surveillance, sales quality assurance or customer contacts in a call centre environment would be an added advantage
Sound knowledge of retail brokerage products and services
A team player with the ability to work independently with minimal supervision
Excellent communication and interpersonal skills to engage high level stakeholders
Strong analytical reasoning skill, with proven capacity in influencing others to drive quality performance
Conversant PC skills, including Word, PowerPoint, and, in particular, Excel
You’ll achieve more when you join HSBC.
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