Wealth Relationship Officer

HSBC Global Services Limited•Irvine, CA

About The Position

The securities-licensed Wealth Relationship Officer provides sales and relationship support to registered securities representatives and Wealth Relationship Managers (WRMs). The role calls for a strong understanding of brokerage and banking, trading operations, banking products, and HSBC Securities Inc. USA brokerage products. Work is often performed under the direction of registered securities representatives. The officer is not expected to provide securities recommendations to clients. As part of the relationship team, the officer supports banking and wealth service activities for assigned clients, handles day-to-day client contact, and helps direct clients to appropriate channels when the WRM is unavailable. The role is intended to reduce WRMs’ administrative workload and enable them to focus on acquisition, cross-selling, retention, and portfolio growth. Building client relationships through value and service is central to success. The position requires Series 7 and 63 licenses and Life and Health insurance licenses, as well as registration or approval in the relevant states. HSBC describes access to professional development, a competitive pay and benefits package, a welcoming and inclusive work environment, volunteerism and matching-gift programs, sustainability and climate initiatives, and Employee Resource Groups. Final fixed pay depends on candidate qualifications and other factors, including role responsibilities, experience, education, licensing, internal relativity, and work location.

Requirements

Series 7 and Series 63 licenses are mandatory.
Life and Health insurance licenses are required.
Must be registered or obtain approval for registration in the necessary states where the registered representative will conduct business.
Good experience in the financial services industry.
Knowledge of brokerage products and services, the operations supporting them, and relevant regulations affecting their delivery.
Knowledge of Anti-Money Laundering and relevant U.S. regulatory governance.
Strong interpersonal and responsiveness skills, sound decision-making, and ability to deliver.
Understanding of core products and the Premier proposition, and familiarity with retail and wealth product processes.
Understanding of relationship management systems, including CRM and RM Platform.
Solid understanding of appropriate branch operational procedures.
Knowledge of local and Group compliance regulations.
Ability to deliver a high-quality client experience and needs-based solutions through effective communication.

Nice To Haves

Previous experience in Retail/Premier Bank sales is preferred.
Mandarin language.

Responsibilities

Provide high-quality sales support to an individual Wealth Relationship Manager or a team of WRMs.
Reduce WRMs’ time spent on process and administrative tasks to increase their capacity for client-facing and higher-value activities.
Support WRMs with the banking portions of their assigned portfolios.
Support client contact and service, including answering calls when WRMs are absent, resolving transactional enquiries, directing clients to appropriate channels, and managing key-event reminders.
Provide sales support to licensed sales staff by preparing and completing sales documents, entering data, generating reports, and liaising with support functions to follow through on client purchase requirements.
Help enhance client trust in HSBC and Wealth’s ability to meet client needs and support WRMs in achieving business plans.
Maintain regular client contact regarding accounts under the direction of a registered securities representative.
Enter client trade orders and open new client accounts at the direction of a registered representative.