MYS CTSM KL - Sales Surveillance Analyst (Wealth Management) CANTONESE LANGUAGE – Hybrid

Job Description:

Citi Global Wealth (CGW) brings together the full power of Citi to serve the entire continuum of wealth clients, from affluent to ultra-high net worth to family offices.  The strategies we create help our clients maintain liquidity while maximizing yields, transact in foreign currency and across borders, and manage fluctuating expenses or cash flow.  We are uniquely suited to helping our clients meet their banking needs across regions through our global network.

This role is part of Wealth Asia Supervision Team and is integral to establishing a robust Investment, Insurance, and FX sales surveillance governance framework that enables effective risk and control management for 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, chat/call monitoring review in the Kuala Lumpur Hub where the Investment, Insurance, FX and Mortgage surveillance processes are centralized in the Hub to drive greater efficiency, consistency and enhanced governance of the sales surveillance/call monitoring process.

In this role, you’re expected to:

• 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 sales compliance process to Sales Representatives whenever required.
• 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.
• Proactively identifies and escalates areas of potential risk and/or improvement areas, process enhancements etc.
• Operate within agreed business SLAs and confidentiality standards.
• Review and update of desk procedures.
• Provide backup to other team members in their absence.
• Implement processes and procedures according to the business / compliance requirement.
• 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 a successful candidate, you’d ideally have the following skills and exposure:

• Minimum 2 - 3 years of experience in performing sales surveillance reviews for Wealth Management or in Compliance/Control Monitoring related role within financial institution experience required.
• Preferred: Excellent domain knowledge in Wealth Management, Insurance and Mortgage Products
• 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.) Mandarin and Cantonese reading/listening skill is mandatory.

Education:

• Bachelor’s/University degree or equivalent experience.

Working at Citi is far more than just a job. A career with us means joining a family of more than 230,000 dedicated people from around the globe. At Citi, you’ll have the opportunity to grow your career, give back to your community and make a real impact.

Take the next step in your career, apply for this role at Citi today

https://jobs.citi.com/dei

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