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MYS CTSM KL - Sales Surveillance Analyst (Wealth Management)

Job Req ID 22479094 Primary Location Kuala Lumpur, Malaysia Job Category Operations - Core
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As an Investments and Insurance Sales Surveillance Senior Officer, you are responsible to review alert generated for Investment and/or Insurance. The review process is critical to detect undesirable behavior, inappropriate sales practice, breaches of sales processes, etc. The review process will involve data / trend analysis, review reports / documents, and listen to voice logs. In addition investigations could involve analyzing client behaviors based on client KYC, investment behavior, and account information on client as updated and available in the bank systems. The reviewer will need to report and document review findings, track corrective actions and do follow-ups.

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
  • 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
  • Perform financial, statistical, and operational studies using analytical skills and knowledge of data analysis tools and methodologies
  • Interpret data and results based on the analysis of information and application of professional judgement
  • Apply project management to assist operational projects as assigned
  • Perform feasibility analysis for significant process changes and partner with business teams to develop process improvements and solutions that help to streamline the operational workflow
  • Resolve varied and complex issues using professional judgment, discretion, and business expertise
  • Provide informal guidance and training to new and lower level team members, as needed
  • Has the ability to operate with a limited level of direct supervision.
  • Can exercise independence of judgement and autonomy.
  • 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.


Qualifications:

  • Minimum 3 years of experience in Investment and Insurance sales surveillance or compliance or quality control or relevant unit within financial institution experience required
  • Preferred: Excellent domain knowledge in retail banking Investment and Insurance products
  • Subject Matter Expert for multiple retail bank products in the analysis of alerts and investigation of transactional activities to detect any suspicions of Investment and Insurance financial activities
  • Proficient in Microsoft Office
  • High level knowledge of related to industry standards and practices
  • 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


Education:

  • Bachelor’s degree/University degree or equivalent experience


This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.

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Job Family Group:

Operations - Core

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Job Family:

Operations Support

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Time Type:

Full time

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