Citi Group CTSM KL - Sales Surveillance Senior Analyst 

Malaysia, Kuala Lumpur 

178805142

MYS CTSM KL - Sales Surveillance Senior Analyst (Wealth Management) - Japanese Language - Hybridbased in Kuala Lumpur, Malaysia. Being part of our team means that we’ll provide you with the resources to meet your unique needs, empower you to make healthy decision and manage your financial well-being to help plan for your future. For instance:

• Citi provides programs and services for your physical and mental well-being including access to telehealth options, health advocates, confidential counseling and more. Coverage varies by country.
• Citi provides access to an array of learning and development resources to help broaden and deepen your skills and knowledge as your career progresses.
• We have a variety of programs that help employees balance their work and life.

Job Description:

Sales Surveillance senior analyst is responsible to review alert generated for Investment, Insurance and FX. 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 will involve analyzing client behaviors based on client KYC,investment/transactionbehavior and account information on client as updated and available in the bank systems. You will need to report and document review findings, track corrective action, and do follow-up.

In this role, you’re expected to:

• Review and disposition of surveillance alert / call monitoring generated as per the surveillance / call monitoring procedures. Investigations will involve document/ call reviews, analyze client behaviors based on client KYC, transactions, account information, customer surveys etc.
• Document exception findings, tracking of corrective actions, follow up and remediation.
• 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.
• 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 guidance and training to new hire and junior 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.

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

• Minimum 3 to 5 years of experience in conducting surveillance review for Wealth Management and Insurance transactions or in Compliance/Controls related role within financial institution experience required.
• Preferred: Excellent domain knowledge in Wealth Management 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 Wealth Management and Insurance transactions.
• 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.
• Japanese language reading writing and listening skill is mandatory.

Education:

• Bachelor’s degree/University degree or equivalent experience

Time Type:

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