Citi Group CTSM KL - Sales Surveillance Analyst Wealth 

Malaysia, Kuala Lumpur 

656591280

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.

Time Type:

View the " " poster. View the .

View the .

View the