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Client Life Cycle Management Relationship Officer|
Responsible for providing a high level of customer service to clients, managing the account opening process for new and existing clients, facilitating the visitation process for all existing clients and executing all day-to-day responsibilities associated with the maintenance of all KYC data in accordance with robust HSBC standards.
Primary Responsibilities/Essential Functions:
Establish fundamental knowledge by:
- Developing comprehensive knowledge of all HSBC products.
- Mastering all compliance and operational risk policies and procedures in accordance with HSBC and regulatory standards, including Know Your Customer, and external regulations.
Provide account opening service to new and existing clients while mitigating risk by:
- Understanding the specific documentary requirements for each type of account opened.
- Providing client with the required account opening forms.
- Ensuring receipt of applicable information / documentation and addressing missing information.
- Conducting negative media and enhanced due diligence search queries and analyzing search results.
- Ensuring activities comply with pertinent internal policies, including Know Your Customer, and external regulations.
- Compiling new account package and working with Operations and Compliance teams to obtain approvals for account opening.
- Adhering strictly to compliance and operational risk controls in accordance with HSBC and regulatory standards, policies and practices; escalating control weaknesses.
Ensure complete and accurate KYC information by:
- Collecting all required information and documentation from the client.
- Completing profiles on internal KYC databases, including client profiles, account profiles, new account approval forms, visitation forms, etc.
- Ensuring adequate source of clients’ wealth is documented.
- Obtaining references from other Company entities as required.
Partake in client engagement by:
- Attending client meetings and events as requested by RM.
- Accompanying Relationship Managers on customer calls to provide information about account opening requirements and product information.
Support RMs by:
- Assisting with input of details to new client database.
- Monitoring upcoming visitation reports and work with RM to ensure timely visits.
- Sourcing information from Clients as needed.
- Managing the processes associated with securities transactions (where applicable).
New Business Development Activities:
- Assist Private Bankers in meeting their revenue and PUM growth goals by Identifying cross selling opportunities and appropriate portfolio diversification
- Coordinate customer interactions and introductions with other business partners as required (eg. GBM, CMB, RBWM)
- Perform research, information gathering, etc. on new product offerings
- Prepare proposals for new and existing clients
- Coordinate pre-call planning with product partners
- Conduct client analysis (performance) and product evaluation / recommendations
- Follow up on sales activity discussions
- Facilitate marketing activities directed by your Banker
- Conduct periodic client reviews for existing investment clients
- Maintain HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators.
- Communicate with HSBC officers and other business partners involved in the maintenance of internal control standards and the development of related procedural guidance.
- Support the Company’s Diversity programs.
- Perform other job-related duties as assigned.
- Perform according to prescribed procedures.
- Daily discretion within assigned authority. Decisions beyond assigned authority are referred to higher levels of management for approval.
Management of Risk
- Each employee must be aware of the Operational Risk scenario associated with the role and acts in a manner that takes account of operational risk considerations.
- Each employee must ensure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues.
- Each employee must promote an environment that supports diversity and reflects the HSBC brand.
Observation of Internal Controls
- Each employee must maintain HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators. Any failures to comply with the above should be reflected in year end performance assessments.
- Each employee must understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which the jobholder is involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy.
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 five years proven and progressive private banking and related financial services industry experience or equivalent.
- Bachelor’s degree in business, related field or equivalent experience.
- Strong research, communication, organizational, analytical, customer service, sales and problem-solving skills.
- Sound knowledge of private banking products, markets and traditional and non-traditional service providers.
- Ability to manage multiple and changing priorities with tact, diplomacy and confidentiality
- Strong knowledge of regulations affecting area of responsibility
- Fluent written and verbal Portuguese language skill required
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