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Banking Attorney in Chicago, IL

HSBC Group Feb 12,2017 Jan 19,2017 Location USA Chicago IL
This job is expired...

In-House

Attorney

Finance - Banking

Litigation - Whistleblower - CFTC

Min 12 yrs required

Profile

Senior Relationship Manager Duties: Manages relationships with wealthy Private Banking customers and expands account relationships of the largest and/or most complex nature through the sale of additional Company and Group products and services, including credit, investment, trust and insurance products, to increase fee-based income. Manage a portfolio of the largest and/or more complex Private Banking account relationships. Expand account relationships through the sale of additional Company and Group products and services to increase fee-based income and contribute to maximized economic profit. Convert high net worth prospects into clients by identifying customer needs and selling appropriate services according to Company policies, Know Your Customer and external regulations. Coordinate customer interactions with other parts of the Company as required. Identify credit opportunities and support the process through a customized interface, structure negotiations and final approval. Communicate and meet with customers on a pro-active basis and respond to their inquiries and requests in a timely and accurate manner according to established service quality standards. Ensure completeness and compliance of all documentation for new and existing relationships to protect Company and customer interests. Support the Company’s Diversity programs. Ensure compliance monitoring is in place, including processes for management of operational risk, in accordance with regulatory standards. To maintain internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators. Any failures to comply with the above should be reflected in year-end performance assessments. To implement the Group Compliance policy locally by managing compliance risk in liaison with the Head of Group Compliance, Regional Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance resources are in place and training is provided, fostering a compliance culture and optimising relations with regulators. Perform other job-related duties as assigned.

Qualification and Experience

Qualifications: Bachelor's Degree in business, related field or equivalent experience including a JD Degree (law) degree and advanced credit training. Certified Public Accountant (CPA), Certified Financial Analyst (CFA) and/or Certified Financial Planner (CFP) designation or equivalent experience is preferred. Active Series 7 and 63 licenses are required. 12+ years proven and progressive private banking, lending, investment and broad-based banking and finance experience or equivalent. Must successfully register with the Nationwide Mortgage Licensing System Registry (NMLSR) and must obtain a unique identifier through the registry that will be provided to consumers with whom the incumbent interacts. In addition, incumbents in this role must successfully renew their registration with the Nationwide Mortgage Licensing System Registry (NMLSR) annually. Strong negotiation, credit, communications, organizational, analytical, customer service, sales and problem-solving skills. Must successfully register with the Nationwide Mortgage Licensing System Registry (NMLSR) and must obtain a unique identifier through the registry that will be provided to consumers with whom the incumbent interacts. In addition, incumbents in this role must successfully renew their registration with the Nationwide Mortgage Licensing System Registry (NMLSR) annually. Strong knowledge of regulations affecting area of responsibility as well as investment markets, concepts, and products and ability to discuss these with customers. Deep, strong network and client following.
Deadline: February 18, 2017, 10:29:00

Additional info

Ref: 00006YG0

Company info