WPB Sales Quality Analyst

$86,700 - $130,100/Yr

HSBC - Miami, FL

Full-time - Mid Level

Miami, FL

Credit Intermediation and Related Activities

About the position

The US Wealth and Personal Banking (WPB) Sales Quality Analyst role at HSBC is a critical position within the First Line of Defense, responsible for ensuring that customer outcomes for product sales align with HSBC's internal standards and regulatory requirements. This role involves assessing the quality of advice provided by the Front Office and ensuring compliance with industry standards and internal policies. The analyst will also conduct customer call backs and produce management reports to support the Sales Quality team in delivering high-quality service to clients.

Responsibilities

• Assess and check the quality of advice evidenced in documentation from the Front Office.
• Review documentation for compliance with industry standards and HSBC internal policies.
• Conduct customer call backs to ensure appropriate product placement for clients.
• Produce reporting and Management Information for Sales Quality and WPB senior management.
• Report on conduct-related activities and maintain the Conflict of Interest register for WPB.

Requirements

• Minimum of a bachelor's degree with 1 - 3 years' equivalent experience.
• Background in Banking, risk management, and/or internal audit; Audit, Risk or Compliance professional designation preferred.
• Knowledge of Financial Services/industry/products/regulation.
• Series 66 (or 65 + 63) and 7 licenses required.
• Bilingual Spanish is required; Portuguese preferred.
• Life, Accident and Health Licenses preferred.
• Analytical and review skills with proficiency in Excel preferred.
• Time management and organizational skills with the ability to prioritize and multi-task.
• Understanding of compliance with internal and external rules and regulations.
• Ability to work professionally with various levels of staff and management.

Nice-to-haves

• Experience in Audit, Risk, or Compliance roles.
• Life, Accident and Health Licenses.

Benefits

• Competitive pay range between $86,700 and $130,100.
• Variable pay in the form of discretionary annual awards (bonuses).
• Access to tailored professional development opportunities.
• Robust Wellness Hub.
• Generous matching gift program.
• Industry-leading volunteerism policy.
• Comprehensive Sustainability and Climate Change Initiatives.