Assistant Manager, Operations Risk & Administration

HSBC - More jobs by this advertiser
 Job Description - Assistant Manager, Operations Risk & Administration (0000CQ9J)

Job Description 

Assistant Manager, Operations Risk & Administration : 0000CQ9J 



HSBC Bank Canada, a subsidiary of HSBC Holdings plc, is the largest and leading international bank in Canada.  HSBC serves customers worldwide through an international network of around 3,800 offices in 66 countries and territories in Europe, Asia, North and Latin America, and the Middle East and North Africa.

We help companies and individuals across Canada to manage their finances through three global business lines: Commercial Banking, Global Banking and Markets, and Retail Banking and Wealth Management.    It’s this global connectivity that you will find yourself inspired and collaborating with colleagues not just locally but also across continents and cultures.   About Retail Banking & Wealth Management   Retail Banking and Wealth Management serves millions of customers worldwide, helping them manage their day – to day finances and save for the future.  We also connect institutional and retail clients with investment opportunities through our Global Asset Management division. We are committed to building long-term relationships with our customers, offering products and services to help them reach their goals and aspirations.  We continue to exponentially grow our market share in Canada year on year.    Key Objectives for Assistant Manager, Operations Risk & Administration:   To provide operational and administrative support and quality standards to the RBWM business, ensuring risk elements are identified and mitigated. Overall nature of work is moderately complex and performs activities that are straightforward and similar in nature.

In small–medium community branch and / or assigned spoke or buddy branch this position is expected to oversee and specifically manage compliance and risk related activities, ensuring elements are identified and mitigated for entire branch team (referred to as Branch Compliance role).   Principle Accountabilities:
  • Identify understand and anticipate customer needs in order to provide effective, efficient and timely customer service and support.
  • Act as a primary point of contact for more complex operational inquiries involving internal and external parties.
  • Primary HBM role supervises the mutual fund sales business conducted within the branch (approve new accounts and monitor trading activity) and act as the primary point of contact for mutual fund customer inquiries requiring escalation.
  • Ensure customer expectations are exceeded in terms of speed, efficiency, certainty and professionalism either face to face or through an alternate channel.
  • Oversee, and monitor customer complaints and where possible handles resolution appropriately and or escalate complex or unsual issue to higher levels
  • Responsible for training and development in relation to Know Your Client (KYC) processes, policies, activities and reporting on behalf of functional area and / or branch.
  • Deliver fair outcomes for our customers and ensure own conduct maintains the orderly and transparent operation of financial markets.
  • Lead, promote and engage inteam-based approach in anticipating and managing customer needs.
  • Lead, engage and promote the culture of Treating Customer Fairly in the team
  • Provide staff performance reviews on quarterly basis to identify areas for improvement.
  • Provide training and development to others as related to operational and risk activities.
  • Provide open access for employees and customers to build rapport, discuss issues, and resolve concerns.
  • Responsible for overseeing team / functional area.
  • Recommend hires or hires appropriately, leverages the talents of the team, identifies potential leaders from the team, and takes corrective action where necessary.
  • Participate in business development programs within area of specialty to enhance product knowledge.
  • Actively refer customers to other areas of HSBC where appropriate.
  • Demonstrate HSBC Group Leadership capabilities and HSBC values and behaviours.
  • Promote an environment that supports diversity and reflects the HSBC brand.
  • Provide input to Branch Manager to assist with leading and developing an effective team through communication, performance management, development plans and reward/recognition practices. Cultivate an environment that supports diversity and reflects the HSBC brand.
  • Ensure that all employees are aware of and effectively identify and manage applicable money laundering (ML), terrorist financing (TF), sanctions and reputational risks.
  • Complete other responsibilities, as assigned.


 Knowledge & Experience / Qualifications:
  • University / College degree or equivalent work experience.
  • Requires industry-specific courses to serve as primary or back-up HIFC Branch Manager. To serve as primary HBM the incumbent requires:
  • Proficiency requirements*
  • 2 years experience selling mutual funds
  • Registerable as the BM under the applicable securities legislation
  • Ability to work independently.
  • 2 - 3 years of related work experience.
  • Ability to lead and guide othersAdvanced problem solving skills to resolve issues within own functional area.
  • Advanced communication and customer service skills.
  • Advanced interpersonal skills to support the building of strong relationships with diverse groups of people.
  • Advanced knowledge of HSBC’s products / services.
  • Advanced knowledge of HSBC’s policies, practices, procedures and systems within own area. For compliance related function: must have excellent knowledge of HSBC policies, practices relating to compliance and risk.
  • Advanced understanding of legislation and regulations as they apply to own area.
  • Willingness to be mobile in local area.
  • Proficiency in any one of the below courses/certification is an asset:
  • Canadian Securities Course;
  • Canadian Investment Funds Course;
  • or Investment Funds in Canada AND the Branch Manager Course offered by CSI or IFIC; or
  • A Branch Compliance Officers Course offered by Investment Funds Institute of Canadian Bankers.
  • World Selection Portfolio certification (training provided by Asset Management Canada, AMCA).
  • Experience assisting with the performance management of direct reports through a performance management process.
  • Ability to manage multiple projects with multiple deadlines.
  • Aware of and understands how own area of the business performs (e.g., is profitable, conserves costs, etc.).
  • Ability to speak / understand a second language is an asset. 

HSBC Proud

In 2018, HSBC Bank Canada was named one of the “Best 50 Corporate Citizens” in Canada by Corporate Knights magazine.  HSBC was also the first company to be recognized as a top performer in gender diversity within the financial services sector, as part of a new Corporate Knights initiative to recognize leaders in this space. 

Join HSBC, and benefit from the following:
  • Career Development: Within your current role, as well as Canadian and international opportunities
  • Company Reputation: Offering prestige, strength, and longevity
  • Business Growth: Underpinned by our drive, and the highest banking standards
  • International Connectivity and impact: Build global relationships and be a part of international initiatives
  • A diverse workforce: Reflecting our belief that diversity of thought, background and perspective make HSBC a stronger organization
  • Corporate Sustainability:  We build our business for the long term by balancing social, environmental and economic considerations in the decisions we make

Job Field

 : Retail / Branch Banking

Primary Location

 : North America-Canada-Ontario-Kingston


 : Full-time 


 : Day JobType of Vacancy : Region vacancy

Job Posting

 : 20-Mar-2019, 06:21:55 

Unposting Date

 : 01-May-2019, 11:59:00  

16 December 2019
Location: Canada Ontario Kingston
Work type:
Full time
Banking and Financial Services
PLEASE! No enquiries from Recruitment Agencies or Headhunters.

Only direct applications will be considered.

This career opportunity is no longer open.
Please search for current vacancies here.

Bookmark and Share
  • Previous Next

This website uses cookies

This website uses cookies to improve user experience. By using our website you consent to all cookies in accordance with our Cookie Policy.
I agree
Read more