Job description

At HSBC, the health and well-being of our employees remains of utmost importance.  Many of our roles are permitted to work from home (in states in which HSBC is licensed to operate) until further notice. Upon resumption of normal operations, this role may be performed at our Depew, New York office.


This role primarily provides trade execution and account support services to the WPB client base, including advisor-led and self-directed via phone and email. The Specialist also supports internal clients such as Financial Consultants, Wealth Operations staff, Compliance and Sales Management. Responsible for receiving and executing domestic and international securities orders and providing high quality information and account maintenance services to clients, internal and external and in multiple languages.

The WPB Services Desk covers the full span of the WPB client continuum; therefore, Specialists may also cover for HNW client order entry services as needed.


Primary Responsibilities:

  • Attend to phone lines in queue and service clients accordingly and efficiently within existing guidelines
  • Receive and execute buy/sell orders for equities, options, fixed income, structured products, mutual funds and foreign currency
  • Perform account maintenance services upon client request
  • Initiate Forms (IRA distribution, ACH, Journal, etc)
  • Support clients for Tax reporting needs
  • Support WPB/HNW brokerage trade inquiry/correction requests
  • Support WPB/HNW brokerage for corporate reorgs election completion
  • Support Middle Office and Operations on all trade related matters and reports
  • Support Sales Management and Regulatory Compliance
  • Respond to regulatory inquiries as needed
  • Receive, review and analyze a variety of reports and documents for accuracy
  • Maintain proper desk activity records

Employment eligibility to work with HSBC in the U.S. is required as the company will not pursue visa sponsorship for these positions

  • Licensed Registered Representative, Series 7 and 63 mandatory AND 65 or 66 mandatory to obtain within 12 months
  • Language Skills: English as well as Mandarin and / or Cantonese is required
  • Minimum of two years proven and progressive service and related financial services industry experience or equivalent
  • Bachelor’s degree in business, related field or equivalent experience
  • Strong and proven research, communication, organizational, analytical, customer service, sales and problem-solving skills
  • Sound knowledge of investment products, markets and traditional and non-traditional service providers
  • Impeccable phone manners – Must be well-spoken and well written, with a people focused attitude
  • Ability to manage multiple and changing priorities with tact, diplomacy and confidentiality
  • Strong knowledge of regulations affecting area of responsibility
  • Proficiency with personal computers as well as pertinent mainframe systems and software packages 



All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.