Senior Sales Quality and Quality Assurance Manager - Broking Services

Hong Kong, Hong Kong
Jun 18, 2019
Jul 02, 2019
Job Function
Risk Management
Industry Sector
Finance - General
Employment Type
Full Time
Some careers grow faster than others.
If you're looking for a career that will give you plenty of opportunities to develop, join HSBC and your future will be rich with potential.

Within Retail Banking and Wealth Management, Broking Services provides full investment services in stocks, bonds, currencies, precious metals, commodities and derivatives to retail, corporate customers and financial intermediaries. As a leading full service broker dealer in Hong Kong, our investment services include advisory, execution, risk and portfolio management, custodianship, and margin financing.

We are currently seeking a high caliber professional to join our team as Senior Sales Quality and Quality Assurance Manager.

Principal responsibilities
  • Establish objectives for the team, clear roles and responsibilities and manage the operating rhythm
  • Monitor existing and emerging risk issues related to client trades within the HSBC Broking Services business, develop and implement control measures to mitigate such risks after consultation with the relevant subject matter experts and risk stewards. Escalate key risk issues identified to senior management and provide timely updates on actions taken to mitigate such risks
  • Responsible for developing and implementing the HSBC Broking Services Sales Quality Framework and Customer Response Handling Guidelines which are central to enhancing HSBC Broking Services' controls on client trades to mitigate risks such as mis-selling, trade errors, frauds, other improper activities and so on
  • Drive risk mitigation and remediation actions identified through observations from the aforementioned controls and various reviews to ensure risks related to client trades are effectively mitigated
  • Design, enhance and manage regular reports to benchmark the performance and effectiveness of Sales Quality and Complaints handling controls to senior management in a timely manner
  • Represent HSBC Broking Services in discussion with other Area Management Head Office Hong Kong and Asia Pacific subject matter experts in the development of Sales Quality initiatives, take ownership of Sales Quality policies and guidelines within HSBC Broking Services. Adapt Retail Banking Wealth Management Sales Quality framework to ensure relevance to HSBC Broking's business model
  • Ensure effective governance by managing the Sales Quality Review Committee and Complaints Cases Review Committee would be an added advantage.
  • Adopt and implement common, Group processes, aimed at adopting group best practice


  • University degree in Business, Finance or related discipline
  • Relevant professional qualification, such as Chartered Financial Analyst, Certified Financial Planner, Financial Risk Manager or equivalent is an advantage
  • Sound knowledge of retail brokerage's products and services is preferred
  • Solid experience in Sales Quality assurance and Complaints handling
  • Experience in a risk management or control function environment essential, knowledge of Retail Banking Wealth Management's Wealth Risk Framework is advantageous
  • Strong analysis, decision making and risk management and evaluation skills
  • Excellent communication, good negotiating and interpersonal skills
  • Ability to work independently under tight timeline
You'll achieve more when you join HSBC.

Candidate with less relevant experience or skills may be offered a lower Global Career Band than stated above.

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. Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

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