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Job Title: Wealth Integration Specialist
Company Name: HSBC
Location: Depew, NY
Position Type: Full Time
Post Date: 02/09/2018
Expire Date: 03/11/2018
Job Categories: Accounting/Auditing, Banking, Finance/Economics, Financial Services, Installation, Maintenance, and Repair, Internet/E-Commerce, Sales, Executive Management, Web Technology
Job Description
Wealth Integration Specialist

Role holder functions as a central point of contact for Advisors in the resolution of mid-to complex level transactions (brokerage multi-products) ensuring implementation and contact points leading to successful Advisor integration/solutions. Partners with stake-holders (Advisors, Wealth Sales Managers, Middle-office etc.) to deliver solutions within specific time-frame and enhance Advisors productivity and deliver optimal customer experience and satisfaction.

Ensures new Advisors acclimate/integrate effectively into the Wealth platform by providing education and guidance on relevant processes. Provides consultancy to Advisors to maximize the benefits of products & services and solutions to strengthen customer relationships.

Provides support and guidance to Advisors in the resolution of client onboarding including action plan to reach top clients within ideal and specific time-frame.

Delivers ongoing assistance to Advisors in the education and collection of detailed customer information required for the completion of account opening as well as periodic reviews to ensure compliance and customer satisfaction.

Serve as Subject Matter Expert (SME) on onboarding processes and systems related to account management tools and provides training on web-based Proposal Generation.

Ensures seamless execution of Advisor onboarding from inception to completion (including, but not limited to check-points with relevant staff involved with requests for systems access and timeliness of Registered Representative ID generation)

The role will ensure that Advisors integrate effectively and understand expectations including ACAT, client penetration time-line and understanding of processes across all relevant functions.


Impact on the Business

  • Liaise with Advisors in the coordination of client onboarding from initiation to the point that the account is open and activated. Interaction with internal stake-holders is required.
  • Ensures that issues involving timeliness, such as clients not reached in a timely manner and process gaps are escalated to management.
  • Act as a go-between in complex issues ensuring gathering detailed information and supporting documentation required to complete the onboarding process.
  • Conduct periodic reviews and check for effective completeness and best practices.
  • Act as a first and central point of escalation on all on-boarding matters.
  • Participate in key onboarding initiatives and work with Advisors to ensure customer satisfaction.
  • Seeks ongoing improvements to the Advisor onboarding process.
  • Increase customer satisfaction by effectively meeting and exceeding key stake-holder expectations.
  • Subject Matter Expert (SME) in resolution of issues that cross internal business lines (i.e., customers that also hold commercial banking relationship)
  • Resolution of issues with clearing & custody platform that cross departmental boundaries.
  • Strong knowledge of trading processes and procedures including but not limited to trading restrictions, pricing and approvals.
  • Knowledge and interpretation of Know Your Customer (KYC) requirements and documentation.
  • Proficiency with ACATs; account transfers including but not limited to incoming/outgoing, residuals, reclaim and liquidations.
  • Knowledge of front-end systems offering automated order entry capabilities as well as view of order details and view of account information.
  • Strong understanding of sales and execution process (compliance with Front Office Reference Guide) and specific functions/areas involved in the brokerage account process including but not limited to; Principal Review Desk, Compliance and Middle-Office.
  • Ensure involved parties work together and are aware of their roles and responsibilities throughout the onboarding and maintenance process.
  • Identify problems/challenges and ensure these are resolved with immediate effect for best results for both the customer and the firm.
  • Follow critical steps as defined within the Operating Models.
  • Track progress in the various stages of Advisor on-boarding.
  • Maintain an in-depth understanding of activities, processes and brokerage related systems.
  • Knowledge of Securities products as well as brokerage account opening and account maintenance procedures.
  • Provide supplemental system training as needed.

Customers / Stakeholders

  • Facilitate integration of Advisors to enable delivery of products and services in a coordinated and timely manner.
  • Establish and maintain excellent working relationships with Advisors and stake-holders involved in the onboarding process.

Leadership & Teamwork

  • Coordinate activities with other areas of the Company as required ensuring smooth implementation of Advisor integration including enhanced processes, procedures, training, reports, etc.
  • Access and expertise of all account opening processing.
  • Lead SME supplemental sales support training for the Sr Premier Relationship Officers.
  • Identify areas and opportunities for improvement in onboarding to ensure ‘Best in Class’ service.
  • Identify opportunities to automate or modify activities or procedures to increase efficiency and maintain a competitive advantage.
  • Supports Advisors in the Sales process (when required).
    Facilitate the generation of proposals and analysis based on profiling data collected and provided by Advisors.
  • Advise on best way to position client hypothetical proposals – must demonstrate knowledge of the systems and trouble-shooting thereof.
  • Be an active member of the team and a strong team-player.
  • Demonstrate strong collaboration with the wider team.

Operational Effectiveness & Control

  • Resolve any/all identified issues promptly, and escalate concerns to management as appropriate to ensure timely awareness of any material concerns.
  • Ensure timeliness and accuracy of responses, adherence to internal policies and external regulations.
  • Maintain and observe all HSBC control standards and implement and observe the Group Compliance Policy, including the timely implementation of recommendations made by internal/external auditors and external regulators.
  • To implement 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 regulators.
  • Complete other responsibilities, as assigned.

Major Challenges

  • Responsible for ensuring a best in class Advisor onboarding experience and escalation of issues are resolved in an efficient and timely manner while managing the expectations of the Advisors and all key stake-holders involved.

Role Context

  • The job holder will ensure all actions take account adherence to standards and by addressing any areas of concern in conjunction with line management and/or the appropriate department.
  • Adherence to onboarding process including engaging appropriate departments as required ensuring all procedures are completed correctly and within agreed time-frame.

Management of Risk

  • Ensure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues., The physical demands/work environment described above are representative of those that must be met by an employee to successfully perform the essential duties of the job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential duties.
  • Physical Demands/Work Environment: Very good working conditions. Little or no physical demands. Minimal handling of light materials.The physical demands/work environment described above are representative of those that must be met by an employee to successfully perform the essential duties of the job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential duties.
  • The jobholder will ensure the fair treatment of our customers is at the heart of everything we do, both personally and as an organization.
  • This will be achieved by consistently displaying the behaviors required by the business and ensure the impact on operational risk is assessed in all that they do.

Observation of Internal Controls

  • Maintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
  • The jobholder will implement the Group compliance policy; containing compliance risk in liaison with Global Head of Compliance, Global Compliance Officer, Area Compliance Officer or Local Compliance Officer. The term ‘compliance’ embraces all relevant financial services laws, rules and codes with which the business has to comply.

HSBC is blazing the trail for African-American colleagues, check it out:

As you complete your online application, please use source code: Historically Black Colleges and Universities. If you would like to notify HSBC's Diversity Recruiting team of your application, please e-mail

Qualifications & Requirements

  • Minimum of three years proven experience in Wealth Management Sales support or Middle-Office Operations and or related or equivalent experience.
  • Bachelor’s degree in Business, Finance, related field or equivalent experience.
  • Series 7, 63 and Life/Health.
  • Knowledge of Securities products as well as brokerage account opening and account maintenance procedures.
  • Strong verbal/written communication, planning, organization, prioritization and time management skills.
  • Capability to take ownership of tasks through to completion.
  • Collaborative and ability to work autonomously.
  • Strong attention to detail.
  • Proficient in MS Office and relevant brokerage systems.


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Company Name: HSBC
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