CTSM KL - Sales Surveillance Analyst (Wealth Management)

Business Overview:

Asia Citi Wealth business serves markets across Hongkong, Singapore, London and Dubai.  The business in Asia offers a diversified range of products ranging from insurance products to complex wealth management products to in excess of 5.4 million customers with a deposit book of US$93 Billion.  With more than a century of enviable brand and market leadership, we are competitively well-positioned to grow a high quality customer base that benefits most from our capabilities.

Job Description:

This role is part of the Asia Citi Wealth Risk and Control Team and is integral to establishing a robust Investment, Insurance, and FX sales surveillance governance framework that enables effective risk and control management for Retail Bank franchise within Asia Wealth Management Business.

Reporting to Sales Surveillance team lead, this role will be responsible for supporting the team lead in managing the Sales Surveillance review in the Kuala Lumpur Hub where the Investment, Insurance and FX sales surveillance processes are centralized in the Hub to drive greater efficiency, consistency and enhanced governance of the sales surveillance process.

Key Responsibilities:

• Review and disposition of alert triggers based on investigation results; investigations could involve document/ call reviews, analyze client behaviors based on client KYC, account info, customer surveys etc.
• Document exception findings, tracking of corrective actions and its completion at individual alert level and at review level.
• Prepare trend analysis and surveillance reports for management reporting.
• Provide feedback and coaching on correct phone sales process to Sales Representatives.
• Provide consultations to other internal departments on sales process and branch operational matters.
• Report and document the Quality of Work / Exception / Observation report of Sales Representatives.
• Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, and to address process/ compliance gaps.
• Review and update of policies and unit procedures.
• Implementation of processes and procedures as per the compliance and business requirements.
• Updates documentation and communicating / training new processes and procedures to business partners.
• Monitor work progression ensuring completion of assignments by requested due date.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

• At least 2-3 years of relevant experience.
• Should have banking /sales background,
   Investment/Insurance knowledge.
• Demonstrated organizational and follow-up skills; ability to multi-task and maintain composure in a high-volume environment.
• Excellent time management skills, effective communication skills (written and verbal) and proven analytical/problem solving abilities.
• Proficient in Microsoft Office.
• Ability to work under pressure and manage deadlines or unexpected changes in expectations or requirements.
• Self-motivated and details oriented.
• Prior experience in sales, compliance or controls would be an advantage.
• Mandarin and Cantonese would be an advantage.

Education:

• Bachelor’s/University degree or equivalent experience.

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