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MYS CTSM KL – Surveillance Senior Analyst (Wealth Management)

Job Req ID 23651131 Location(s) Kuala Lumpur, Malaysia Job Category Compliance and Control
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Business Overview

Citi’s Asia CGW Business serves two of the fastest growing cities, Singapore and Hong Kong through our Retail, IPB and Private Bank Business. Asia CGW 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.

Objective Overview

This role is part of the Asia CGW In-Business Risk and Control team and is integral to establishing a robust Wealth sales control that enables effective risk and control management by the CGW Wealth business in Asia.    

Reporting to the KL Hub Risk and Control Lead, this role will be responsible for leading and managing the Retail Bank controls including Wealth Sales Control framework across Asia. The candidate will require to perform review for surveillance cases / data & trend analysis to support the business.

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
  • 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
  • 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. This process will involve review and understand data elements and raw data source files
  • Responsible to identify data source issues if any and proactively work with business units and technology teams to ensure no impact to the business operations
  • Interpret data and results based on the analysis of information and application of professional judgement
  • Provide guidance and training to new hire / junior team members, as needed
  • Has the ability to operate with a limited level of direct supervision
  • Acts as SME to senior stakeholders and /or other team members
  • Adheres to global standard policies and procedures
  • Review and update of department / unit 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.


  • Minimum 3 years of experience in Wealth Management, Insurance or compliance / quality control or relevant unit within financial institution experience required
  • Excellent domain knowledge in retail banking Wealth Management and Insurance Products
  • Strong in SQL, understand data structure and data elements, experience in automate manual processes
  • 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


  • Bachelor’s degree/University degree or equivalent experience
  • Preferred: Excellent domain knowledge in Wealth Management, Insurance, and FX products


Job Family Group:

Compliance and Control


Job Family:

Business Control


Time Type:

Full time


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