Wealth Relationship Officer

HSBC Global Services Limited•Los Angeles, CA

About The Position

The Wealth Relationship Officer is a securities-licensed role supporting Wealth Relationship Managers (WRMs) and registered securities representatives across banking and wealth servicing activities. The role helps deliver a strong client experience by serving as a key client contact and ensuring timely follow-through on requests and documentation. It takes on process and administrative work so WRMs can focus more on client-facing and higher-value activities. The officer manages day-to-day client servicing, supports banking needs within assigned portfolios, prepares sales documents, and coordinates requirements with internal support functions. Under the direction of a registered securities representative, the officer enters client trade orders and opens new client accounts. The role does not provide securities recommendations to clients.

Requirements

FINRA Series 7 and Series 63 licenses are required.
Experience in financial services or banking.
Knowledge of brokerage products and services and the operations and regulations that support their delivery.
Knowledge of Anti-Money Laundering and relevant U.S. regulatory governance.
Experience with relationship management systems such as CRM and RM platforms.
Understanding of core products, including the Premier proposition and retail and wealth product processes.
Ability to follow local and Group compliance regulations and appropriate operational procedures.
Fluency in Spanish is required to support the target client base.

Nice To Haves

SIE license.
Life and Health insurance licenses.
Willingness to be sponsored for the SIE, Life, and Health insurance licenses.

Responsibilities

Provide high-quality sales support to an individual or team of Wealth Relationship Managers.
Reduce process and administrative workload for WRMs, increasing the time available for client meetings and higher-value activity.
Support WRMs with the banking portions of their assigned client portfolios.
Manage day-to-day client contact and servicing, including answering calls in a WRM’s absence and resolving transactional inquiries.
Facilitate hand-offs to appropriate channels to meet client needs.
Prepare and complete sales documents, manage data input, and generate reports to support licensed sales activity.
Liaise with internal support functions to progress client purchase process requirements through completion.
Enter client trade orders and open new client accounts under the direction of a registered securities representative.