Quality Assurance Manager - Broking Services

  • Competitive
  • Hong Kong
  • Permanent, Full time
  • HSBC
  • 17 Oct 18

Quality Assurance Manager - Broking Services

Some careers grow faster than others.
If you're looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential.

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 Quality Assurance Manager.

Principal responsibilities

  • ​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, 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.


Qualifications
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
  • Acquired pass in Hong Kong Securities and Investment License Paper 1


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.

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