Investment Specialist

In compliance with applicable laws, HSBC is committed to employing only those who are authorized to work in the US. Applicants must be legally authorized to work in the U.S. as HSBC will not engage in immigration sponsorship for this position.

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 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.

Delivers professional investment support to internal and external clients of HSBC WPB HNW and Wealth Division who direct their own securities trades through HSBC. Provides professional and efficient trade execution by providing customers and IC/RMs with market color and or guidance on execution of trades. Ensures best execution of client-directed order flow maximizing best outcomes for the customer by exercising extensive knowledge of trading platforms and investments. Minimizes risk and potential loss by strictly following written procedures and regulatory guidelines. Develops effective relationships with internal and external counterparts, works in collaboration with ICs, RMS and Product Specialists providing products, platforms and background information as they develop trade ideas suitable for clients of HSBC WPB. Works independently relying on investment experience and knowledge of domestic and international securities including equities, options, fixed income, mutual funds, structured products, FX, precious metals, OTC derivatives, etc.

As our Investment Specialist you will:

• Order receipt, entry and execution for all non-discretionary products for HSBC WPB clients 


• Execute trades properly, ensuring accuracy, timeliness and adherence to trade procedures 


• Maintain compliant and accurate trade blotters 


• Identify, respond to and report trade discrepancies; immediately investigate and resolve discrepancies 


• Provide product and execution guidance and support for all HNW and Wealth RMs, ICs, ICAs, CSEs, Product Specialists and HNW supervisors


• Support Middle Office and Operations on all trade related matters and reports 


• Support Business Management and Regulatory Compliance 


• Maintain proper desk activity records 


• Respond to regulatory inquiries as needed 

You´ll likely have the following qualifications to succeed in this role:

• Bachelor’s degree in business, related field or equivalent experience 


• Proven and progressive service and related financial services industry experience 


• Licensed Registered Representative, Series 7, 63, 65 or 66 (in lieu of 63 and 65) 


• Language Skills: English is a requirement; Spanish and/or Portuguese are desirable (Fluent)


• Strong research, communication, organizational, analytical, customer service, sales and problem-solving skills 


• Knowledge of markets and traditional and non-traditional service providers 


•  Experience in booking of trades, investigating trade breaks and resolving trade discrepancies 


• Proficiency with personal computers as well as pertinent mainframe systems and software, for example, Bloomberg, Pershing NetX360, Microsoft Outlook, specifically Excel, etc. 


• Strong interpersonal skills and impeccable phone manners – Must be well-spoken and well written, with a people focused attitude 


• Strong knowledge of regulations affecting area of responsibility 

As an HSBC employee, you will have access to tailored professional development opportunities to ensure you have the right skills for today and tomorrow. We offer a competitive pay and benefits package including a robust Wellness Hub, all in a welcoming and inclusive work environment. You will be empowered to drive HSBC’s engagement with the communities we serve through an industry-leading volunteerism policy, a generous matching gift program, and a comprehensive program of immersive Sustainability and Climate Change Initiatives. You’ll want to join our Employee Resource Groups as they play a central part in life at HSBC, including the development of our employees and networking inside and outside of HSBC. We value difference. We succeed together. We take responsibility. We get it done. And we want you to help us build the bank of the future!

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

All qualified applicants will receive consideration for employment without regard to age, ancestry, color, race, national origin, ethnicity, disability or medical condition, genetic information, military or veteran service, religion, creed, sex, gender, pregnancy, childbirth, caregiver status, marital status, citizenship or immigration status, sexual orientation, gender identity or expression or any other trait protected by applicable law.