Job Description

Job description

Opening up a world of opportunity.

We\'re a financial services organization serving more than 39 million customers across the globe through our Wealth & Personal Banking, Commercial Banking and Global Banking & Markets businesses.

We\xe2\x80\x99re here to use our unique expertise, capabilities, breadth and perspectives to open up a world of new opportunities for our customers, our people and our communities.

Wealth and Personal Banking

We help clients to manage, protect and grow their wealth. We offer a range of services from personal banking, mortgages and loans to investment, savings and wealth management products. Our international network and breadth of expertise enables us to support individuals, families, business owners, investors and entrepreneurs around the world.

About the role

The position is responsible for the oversight of the investment dealing activities for the group of HSBC Investment Funds (Canada) Inc. (\xe2\x80\x9cHIFC\xe2\x80\x9d) branches in accordance with internal policies and regulatory requirements. The position is also responsible for the other administrative activities such as the maintenance of the central deficiency log, tracking of conflicts of interests and other outside activities.

Responsibilities:

• Perform daily reviews of transaction activities to ensure proper suitability and Know-your-Customer (\xe2\x80\x9cKYC\xe2\x80\x9d) supervisory oversight.
• Provide same-day approvals for new accounts and other customer Know-your-Customer (KYC) documentation.
• Responsible to ensure investment activities comply with regulatory requirements and HSBC Investment Funds (Canada) Inc. Policies and Procedures.
• Provide support for the group of branches to ensure updates to policies and procedures are communicated to registered individuals in a timely manner and that guidance on HSBC Investment Funds (Canada) Inc. (HIFC)-related items are provided where needed.
• Liaise with Head Office Departments concerning issues requiring escalation.
• Oversee other administrative tasks such as periodic branch on-site visits, monitoring and actioning of the items of the central deficiency log, quarterly compliance certification of staff.
• Participate in quality, regulatory and compliance training in order to meet performance targets.
• Provide training and development to others as related to operational and risk activities.
• Ensure that all employees are aware of and effectively identify and manage applicable money laundering (ML), terrorist financing (TF), sanctions and reputational risks.
• Promote and contribute to team-based approach in completing tasks and meeting internal and external customer needs.
• Promote an environment that supports diversity and reflects the HSBC brand.
• Complete other responsibilities, as assigned.

Requirements

• University / College degree or equivalent work experience.
• At least 1 year of experience in related role.
• Complete all required industry-specific courses to serve as the HIFC Branch Manager. Proficiency requirements include:

• The Canadian Securities Course or Canadian Investment Funds Course; AND
• Branch Compliance Officer (BCO) course or the Branch Managers Course (BMC).
• Registerable as the HIFC Branch Manager under the applicable securities legislation.
• Career minded team player and development minded.
• Ability to meet volume, quality and regulatory performance targets.
• Effective communication and interpersonal skills.
• Experience with conflict resolution.
• Strong analytical and critical thinking ability.
• Proven ability to learn and operate new software and technology.
• High attention to detail with advanced time management and organizational skills.
• Ability to multi-task, handle large volumes, tight turnarounds and multiple deadlines.
• Ability to embrace change
• World Selection Portfolio certification (training provided by Asset Management Canada).
• Ability to work independently.
• Ability to lead and guide others.
• Willingness to be mobile in local area and travel domestically should the need arise.

#li-Allegis #LI-ER1

HSBC Proud

HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment.

We encourage all Black people, Indigenous People of Canada and people with disabilities to self-identify in their applications. Please contact our Canada Careers mailbox ( ) with any additional inquiries or for support and reasonable accommodations during the selection process.

If this is not the ideal role for you, we invite you to so we can update you about job opportunities and career events in your area of interest. We are always looking for people with purpose and ambition who can help build the bank for the future.

HSBC