MYS CTSM KL - Quality Assurance Surveillance Senior Analyst (Wealth Management) (Hybrid)

Business Overview

Citi’s Asia Business serves two of the fastest growing cities, Singapore and Hong Kong through our Consumer, IPB and Private Bank Business. Asia Wealth business offers a diversified range of products ranging from insurance products to complex wealth management products, including FX Products to in excess of 115M customers, with US$260B in client volumes, US$2.4B of total revenue, Asset Under Management of US$42B along with a deposit book of US$90 Billion. These customers are serviced by 1000 odd Relationship and Private Bankers. With more than a century of enviable brand, Best-in-Class digital client acquisition, diverse Wealth Management product capability and market leadership, we are competitively well-positioned to grow a high-quality customer base that benefits most from our product and network capabilities.

Job Objective

This role is part of Wealth Asia Supervision Team and is integral to establishing a robust Social Media Surveillance, Investment, Insurance, and FX sales surveillance governance framework that enables effective risk and control management for Wealth.

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

In this role, you’re expected to:

• Responsible for performing quality monitoring review on the social media, wealth management and insurance sales. Review the work of the Surveillance Analysts in which includes data analysis, trend analysis, report reviews, review of documents/voice logs.
• Ensure that the Quality Assurance process is executed according to the QA standard policies and relevant procedures.
• Operate within agreed business SLAs and confidentiality standards.
• Responsible for conducting root-cause analysis on the results of quality reviews to recommend remedial training or other appropriate follow-up action to team leads and/or unit manager.
• Responsible for tracking the results of quality assurance reviews and remedial actions in the QA tracker/database.
• Responsible for assisting to develop and report Quality Assurance review results via metrics, and distribute to senior management, team leads, analysts, and other designated personnel.
• Proactively identifies and escalates areas of potential risk and/or quality improvement areas, process enhancements etc.
• Support the successful accomplishment of internal Manager’s Control Assessment as they apply to the department.
• Implementation of processes and procedures on compliance matters/Risk & Control (e.g., QA Surveillance Report, Continuity of Business, Records Management, Mandatory Absence, MCA, etc.)
• Responsible for the training requirement of social media, Investment, Insurance and FX Surveillance for KL Hub including design and roll out of training materials.
• Acts as SME to senior stakeholders and /or other team members.
• 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, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards.

As a successful candidate, you’d ideally have the following skills and exposure:

• Minimum 5 years of experience in performing Quality Assurance related surveillance reviews for Wealth Management or in Compliance/Control Monitoring related role within financial institution experience required.
• Preferred: Excellent domain knowledge in Wealth Management and Insurance Products and strong knowledge around social media platforms
• Strong understanding of operational risk and control processes and procedures.
• Ability to work unsupervised and adjust priorities quickly as circumstances dictate.
• Consistently demonstrates clear and concise written and verbal communication skills.
• Self-motivated and detail oriented.
• Proven organization and time management skills.
• Demonstrated problem-solving and decision-making skills.
• Multilingual is an advantage (Mandarin, Cantonese etc.)

Education:

• Bachelor’s/University degree or equivalent experience, potentially master’s degree
• Preferred: Compliance/Controls related working experience within financial institution.

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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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