As our Investment Specialist you’ll be delivering professional investment support to internal and external clients of HSBC WPB HNW and Wealth Division who direct their own securities trades through HSBC. Provides professional and efficient trade execution by providing customers and IC/RMs with market color and or guidance on execution of trades. Ensures best execution of client-directed order flow maximizing best outcomes for the customer by exercising extensive knowledge of trading platforms and investments. Minimizes risk and potential loss by strictly following written procedures and regulatory guidelines. Develops effective relationships with internal and external counterparts, works in collaboration with ICs, RMS and Product Specialists providing products, platforms and background information as they develop trade ideas suitable for clients of HSBC WPB. Works independently relying on investment experience and knowledge of domestic and international securities including equities, options, fixed income, mutual funds, structured products, FX, precious metals, OTC derivatives, etc. You must have a Series 7 and 66.
- Support Middle Office and Operations on all trade related matters and reports
- Maintain compliant and accurate trade blotters.
- Experience in booking of trades, investigating trade breaks and resolving trade discrepancies
- Execute trades properly, ensuring accuracy, timeliness and adherence to trade procedures.
- Ability to independently resolve issues quickly and efficiently.
- Provide product and execution guidance and support for all Wealth RMs, ICs, ICAs, CSEs, Product Specialists and HNW supervisors
- Order receipt, entry and execution for all non-discretionary products for HSBC WPB clients
- Products include all domestic and international equities, options, fixed income, mutual funds, structured products, foreign exchange, precious metals, OTC derivatives
- Sound judgment, keen sense of urgency and high level of professional and personal integrity.
- Receive, review and analyze a variety of reports and documents for accuracy
- Identify, communicate and escalate system issues to relevant parties to reduce operational risk.
- Respond to regulatory inquiries as needed
- Ability to manage multiple and changing priorities with tact, diplomacy and confidentiality
- Ensure integrity of sales process and compliance with all HSBC and regulatory policies.
- Identify, respond to and report trade discrepancies; immediately investigate and resolve discrepancies.
- Support Business Management and Regulatory Compliance
- Maintain proper desk activity records
- Impeccable communication skills, verbal and written, in multiple languages (English mandatory, Spanish preferred, Portuguese desirable)
- Strong research, communication, organizational, analytical, customer service, sales and problem-solving skills
- Strong knowledge of regulations affecting area of responsibility
- Licensed Registered Representative, Series 7, 63 and 65 or 66
- Bachelor’s degree in business, related field or equivalent experience
- Minimum of two to five years proven and progressive service and related financial services industry experience or equivalent
- Strong interpersonal skills and impeccable phone manners – Must be well-spoken and well written, with a people focused attitude
- Sound knowledge of markets and traditional and non-traditional service providers
- Proficiency with personal computers as well as pertinent mainframe systems and software, for example, Bloomberg, Pershing NetX360, Microsoft Outlook, specifically Excel, etc.
- Language Skills: English is a requirement; Spanish and/or Portuguese are highly preferred.
Vacancy Type: Full Time
Job Location: Miami, FL, US
Application Deadline: N/A