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.

Wealth Supervisors (“WS”) are responsible for overseeing the supervision of the Wealth Centers or Office of Supervisory Jurisdiction (OSJ) in conjunction with the Market Manager.

Wealth Supervisors work closely with the Market Managers and various Wealth teams to ensure proper compliance with internal policies and procedures and applicable industry regulations. The role is intended to drive execution of new regulatory policies and procedures through various initiatives, ensuring best practices within Wealth Centers, orienting new hires to HSBC policies and practices and participating in promotional activities and special projects as required.

As a Wealth Supervisor you will:

Ensure the laws, regulations and ethical standards of the securities industry are adhered to in assigned Wealth Centers and OSJConduct reviews of various on-line and hard copy compliance reports, daily sales blotters, e-mails, faxes and correspondenceConduct on-site audits of broker/dealer field locations to ensure all processes meet regulatory and firm standards. Investigate and document potential issues, inquiries and resolutionsExecute on various project work initiatives to continuously improve processes and proceduresWealth Supervisors are required to be in the field regularly as a hybrid role (time in Wealth Centers and in the Office of Supervisory Jurisdiction (OSJ))Review exception reports (FIS): Conduct supervisory review of daily trade alerts and monthly account review alertsSupervisory Pre-Trade ApprovalsRegistration: Perform reviews to ensure RRs are registered in the correct locations, BRITS validation, move requests, terminations.Role requires client contactsAttend and present at Market Manager Sales/Compliance meetingsHave delegated authority from the Market Manager for supervisory responsibilitiesWork with Sales Quality team to remediate exceptions foundWork with Compliance Assurance on remediation of audit findings and work with the advisors on the audit responsesPerform email reviews for registered representatives in designated area(s)Build relationships with assigned Wealth Centers/OSJs and respond to inquiries from the fieldProvide supervisory training for new and existing employees. Provide training on compliance practices and present at monthly Market Manager meetingsProvide assistance to assigned branch offices in operational activities to ensure compliance with internal policies and procedures and applicable industry regulationsReview customer complaints in conjunction with Sales Management and Compliance to ensure proper resolutionLead by example and represent HSBC Values Behaviors when interacting with customers and colleagues at all levels within the organizationImplement the Group compliance policy locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources and training, fostering a compliance culture and optimizing relations with regulatorsComplete other responsibilities, as assigned

For this role, HSBC targets a pay range between $128,100.00 and $192,200.00.

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.