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MYS CTSM KL - Investment and Insurance Sales Surveillance Analyst

Job Req ID 21268986 Primary Location Kuala Lumpur, Malaysia Job Category Compliance and Control
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The Compl Bus Control Analyst 2 is a developing professional role. Applies specialty area knowledge in monitoring, assessing, analyzing and/or evaluating processes and data. Identifies policy gaps and formulates policies. Interprets data and makes recommendations. Researches and interprets factual information. Identifies inconsistencies in data or results, defines business issues and formulates recommendations on policies, procedures or practices. Integrates established disciplinary knowledge within own specialty area with basic understanding of related industry practices. Good understanding of how the team interacts with others in accomplishing the objectives of the area. Develops working knowledge of industry practices and standards. Limited but direct impact on the business through the quality of the tasks/services provided. Impact of the job holder is restricted to own team.

Responsibilities:

  • Updates documentation, and communicating/training new processes and procedures to business partners.
  • Monitor work progression ensuring completion of assignments by requested due date
  • 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 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 changes according to the business procedures
  • 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 years of relevant experience
  • 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 or compliance would be an advantage
  • Thai language is an added advantage

Education:

  • Bachelor’s/University degree or equivalent experience

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Job Family Group:

Compliance and Control

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Job Family:

Business Control

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Time Type:

Full time

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Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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