Our purpose – Opening up a world of opportunity – explains why we exist. Here at HSBC we use our unique expertise, capabilities, breadth and perspectives to open up new kinds of opportunity for our more than 40 million customers. We’re bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world – for our customers, our people, our investors, our communities and the planet we all share.

The role of the Wealth Supervisor works closely with sales management and with various WPB Wealth teams to ensure proper compliance to industry regulations. The role is intended to provide day-to-day supervision support within WPB, specifically within HNW, and to drive execution of new regulatory policies and procedures through various initiatives, ensuring ensure best practices in assigned branches, orienting new hires to branch and HSBC policies and practices and participating in branch promotional activities and special projects as required.

As our Wealth Supervisor you will:

Primary point of contact for policy related questions for all High Net Worth Registered Representatives, covering the HNW NY- Office of Supervisory Jurisdiction (OSJ), HNW Florida-OSJ, HNW San Francisco, Beverly Hills, and Seattle officesEnforce HSBC Securities Inc. (H.S.I.) Written Supervisory Procedures. Review and Approve Daily Trade Blotters, and Trade AlertsResolve and minimize Trade Errors. Staff Dealing Review and ApprovalCustomer Complaint Handling and manage all Branch office inspectionsGift and Entertainment Review and ApprovalEnsure adherence to Best Interest Policies and Procedures and ensure adherence to Cross Border Policy Represent Supervision in applicable Operating Committees and assist with Product ReviewsComprehensive understanding of all HSBC Securities (USA) Inc., policies and procedures, including but not limited to the Compliance Manual, Written Supervisory Procedures, Non Deposit Investment Products (NDIP) Manual, and Cross Border manualsBuild relationships with assigned branch offices and respond to inquiries. Provide assistance to assigned branch offices in operational activities to ensure complianceEnsure compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing any issuesManage operational risk, by using relevant Management Information (MI) to identify risk situations and take any appropriate action to minimize lossMaintains HSBC internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators Ensure the fair treatment of our customers is at the heart of everything we do, both individually and as an organization

For this role, HSBC targets a pay range between $128,100.00 and $192,200.00

The final fixed pay offer will depend on the candidate and a number of variables, including but not limited to, role responsibilities, skill set, depth of experience and education, licensing/certification requirements, internal relativity, and specific work location.

At HSBC, our overall goal is to provide a competitive Total Reward Package, with an appropriate mix of fixed pay, and variable pay, as part of an employee’s overall total compensation and benefits. Variable pay generally takes the form of discretionary, annual awards (sometimes referred to as a “bonus”). Additionally, HSBC offers a wide range of competitive and flexible benefits designed to help you improve your health and well-being, finances, and lifestyle.