1+ months

Investment Specialist

Miami, FL 33128
  • Job Code

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 Miami, Florida office.


As our Investment Specialist you’ll be delivering 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. You must have a Series 7 and 66.   


About Us

Our purpose – Opening up a world of opportunity – explains why we exist. We’re here to use our unique expertise, capabilities, breadth and perspectives to open up 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.


Here’s what you might expect on a typical day:

  • Order receipt, entry and execution for all non-discretionary products for HSBC WPB clients
  • Products include all domestic and international equities, options, fixed income, mutual funds, structured products, foreign exchange, precious metals, OTC derivatives
  • 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 Wealth RMs, ICs, ICAs, CSEs, Product Specialists and HNW supervisors
  • Experience in booking of trades, investigating trade breaks and resolving trade discrepancies
  • Impeccable communication skills, verbal and written, in multiple languages (English mandatory, Spanish preferred, Portuguese desirable)
  • Ability to manage multiple and changing priorities with tact, diplomacy and confidentiality
  • Ability to independently resolve issues quickly and efficiently.
  • Sound judgment, keen sense of urgency and high level of professional and personal integrity.   
  • Support Middle Office and Operations on all trade related matters and reports
  • Support Business 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
  • Identify, communicate and escalate system issues to relevant parties to reduce operational risk.
  • Ensure integrity of sales process and compliance with all HSBC and regulatory policies. 


Posted: 2022-01-07 Expires: 2022-05-27

HSBC offers the opportunity to develop a fulfilling career within a supportive and inclusive environment. We aim to be a place where everyone can achieve their full potential, regardless of their background.

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Investment Specialist

Miami, FL 33128

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