Wealth Relationship Officer
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 officer acts as a key client contact, follows through on requests and documentation, and takes on process and administrative work to increase WRMs’ client-facing capacity while maintaining service quality. The role supports banking activities for assigned client portfolios, responds to client inquiries, and helps clients reach the appropriate support channels. It also includes preparing sales documents, processing data and reports, entering trade orders, and opening client accounts under the direction of a registered securities representative. The role does not provide securities recommendations to clients. The position requires FINRA Series 7 and 63 licenses, financial services or banking experience, relevant product and regulatory knowledge, relationship-management-system experience, and Spanish fluency. HSBC describes a competitive pay and benefits package, professional development opportunities, a welcoming and inclusive work environment, and opportunities to participate in community and sustainability initiatives.
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 to support the target client base.
Nice To Haves
- SIE license.
- Life and Health insurance licenses.
- Willingness to be sponsored for the SIE or 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, allowing more time for client meetings and higher-value activities.
- 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 the 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.
Benefits
- Tailored professional development opportunities.
- Competitive pay and benefits package.
- Robust Wellness Hub.
- Welcoming and inclusive work environment.
- Industry-leading volunteerism policy.
- Matching gift program.
- Sustainability and Climate Change Initiatives.
- Employee Resource Groups supporting employee development and networking.
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What This Job Offers
Job Type
Full-time
Education Level
No Education Listed
