Investment Services Representative
Employment Type: Regular
Provide exceptional client services and ensure client satisfaction by attending to clientsâ?? needs in an efficient and professional manner. Take ownership of all calls and resolve/follow-up all client issues accordingly as well as pro-actively identify and analyze customer needs and cross-selling opportunities to ensure high client service levels, growth and retention of business.
Impact on the Business
Verify credit and compliance policies for each client account prior to executing various investment transactions effectively and accurately.
Customers / Stakeholders
Deliver fair outcomes for our customers and ensure own conduct maintains the orderly and transparent operation of financial markets.
Leadership & Teamwork
- Maintain strong relations with HSBC colleagues and act as liaison between areas
- Promote an environment that supports diversity and reflects the HSBC brand.
Operational Effectiveness & Control
- Adhere to policies, standards and procedures established by the Firm and regulatory bodies.
- Strive for continuous improvement in client service as measured by Quality Call Standards.
- Achieve and maintain strong industry product knowledge through mandated continuing education requirements. Maintain solid understanding and awareness of internal policies, procedures and new initiatives
- Ensure that all employees are aware of and effectively identify and manage applicable money laundering (ML), terrorist financing (TF), sanctions and reputational risks.
- Complete other responsibilities, as assigned.
Management of Risk
Ensure compliance of both general and anti-money laundering and anti-terrorist financing (AML/ATF) compliance controls as well as operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issues.
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.
- Completion of a post secondary education.
- Completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook Examination (CPH) or registered with the IIROC
- Completion of/in the process of completing the Derivatives Fundamentals and Options Licensing Course (DFOL)
- Working knowledge of the fundamentals/techniques of equity, fixed income, option, and mutual fund trading, and the applicable rules & regulations sufficient to trade securities for the public.
- Working knowledge of the marketplace, including current conditions & trends in the Canadian & U.S. stock and bond markets.
- Previous experience working directly in a highly client driven environment, typically acquired with at least 6-12 months experience in a call center environment.
- Sales Experience is an asset
- Fluent in English
- Second business language skills in Cantonese, French, and/or Mandarin are an asset.
- Well developed organization and prioritization skills. Proven ability to juggle multiple tasks within a dynamic deadline environment.
- Demonstrated tact and diplomacy.
- Demonstrated high-level customer service oriented approach.
- Willingness to work flexible, extended hours and weekends as required