Manager Sales Quality, Complaints - Retail Banking and Wealth Management
Some careers open more doors than others.
If you're looking for a career that will unlock new opportunities, join HSBC and experience the possibilities.
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 Manager Sales Quality, Complaints. Principal responsibilities
- Identify abnormal sales staff and customer profile from Wealth and Retail Banking mis selling complaints to unveil potential risks to the Bank
- Execute fair assessment and conclusion of mis selling complaints to align with Conduct Outcomes
- Escalate potential wrong customer outcome, misconduct and regulatory breaches to line managers promptly
- Conduct robust complaints investigation on delivery of Wealth and Retail Banking sales in respective Channels
- Identify sales quality issues in the sales force through mis selling complaints investigation
- Identify improvement gaps of frontline staff
- Understanding of customer needs and staff voices to conclude fair outcomes in the complaints investigation
- Unveil improvement gaps from complaints
- Engage counterparts by providing feedback on delivery of products and sales processes with customer centricity
- Ensure own competence and training to comply with the requirements laid down in the Sales Quality Capability Framework
- Sharing of observations and learning with team members to support growth in staff competence
- Attend and participate in departmental and team meetings and Exchange sessions according to Bank expectations. Channel staff feedbacks via system input.
- Carry out complaints investigation and reporting with efficiency, effectiveness and transparency
- Consistently apply external and internal regulatory guidelines to assure operational integrity by highlighting any compliance breaches or procedural issues
- Continually assess the operational risks associated with the role and inherent risks in the business, taking account of changing economic or market conditions, legal and regulatory requirements, operating procedures and practices, management restructurings, and the impact of new technology
- Identify streamlining opportunities in Sales Quality functions & processes
You'll achieve more when you join HSBC.
- University degree in an appropriate discipline or equivalent
- Valid Insurance license and registration as a Relevant Individual under Securities and Future Ordinance
- Proven recent experience in sales quality assurance monitoring and sales procedures applications
- Project management experience would be an asset
- Strong analytical reasoning capabilities
- Excellent people management skills and experience, with the proven ability to influence others and drive quality performance
- High standard of written and verbal English, and good communication skills in Cantonese and Mandarin
- Proficiency in the use of computer, including Microsoft Word, Excel and PowerPoint, and Chinese typing skills
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