Sales Quality Assurance Manager - Broking Services

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • HSBC
  • 08 Nov 17 2017-11-08

Some careers have more impact than others.

If you’re looking for a role where you can continue to make an impression, take the next step at HSBC where your contributions will always be valued.

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 Assurance Manager.

In this role, you will

  • Facilitate the development and implementation of the HSBC Broking Services Sales Quality Framework, which is central to enhancing the Group’s controls on client trades to mitigate risks such as unethical transactions, trade errors, frauds and other improper activities
  • 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
  • Adopt and implement common, HSBC Group processes, aimed at adopting group best practice in the HSBC Group

To be successful in this role, you should meet the following requirements

  • 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 HSBC Broking Services products and services
  • A team player with the ability to work independently with minimal supervision
  • Excellent communication and inter personal skills to engage high level stakeholders

For further details and application information please visit our career site, search under reference number 00009ZST

You’ll achieve more when you join HSBC.

Candidate with less relevant experience or skills may be offered a lower Global Career Band than stated above.

HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by The Hongkong and Shanghai Banking Corporation Limited