· Support team members and their existing portfolio of clients
· Obtains orders for purchase and sales in assigned area of responsibility; forwards all orders to proper exchange for execution and ensures completion of transactions.
· Proactively participates with other salespersons and traders who service accounts.
· Ensures compliance monitoring is in place, including processes for management of operational risk, in accordance with HSBC and regulatory standards
· Ensure compliance with best execution practices, aligns with HSBC values in behavior and conduct.
· Ensure maintenance of required licensing in order to perform assigned duties
· Completes all assigned internal and external training.
Ideal candidate profile
· 2+ year's sales experience, product knowledge of sales/compliance, the market and of the firm's products and services.
· Bachelor's degree in Finance, Economics, or equivalent work-related experience.
· FINRA Series 3 required
· Able to understand and manage complex and diverse instruments
· Able to identify and manage risk associated with execution sales