Citi Group Business Risk Intermediate Analyst 

China, Hong Kong 

951798087

Responsibilities

• Provide oversight of the Sales Surveillance, Sales Practice, and conduct risk & control framework across Consumer Businesses (1st Line of Defense)
• Coordinate and work with the relevant teams to investigate conduct risk related cases & sales practice complaints, for substantiated cases, work with businesses to conduct root cause analysis and liaise with business and line control officers on any deficiencies or control gaps as well as ensuring appropriate remedial actions are in place where deficiencies are identified.
• Coordinate and oversee the sales practice complaints. Report to senior management in the Sales Complaint Review Forum to review and decide on resolutions to customers in accordance with regulatory requirements
• Perform data analysis and prepare MIS to report conduct risk issues at various governance meetings
• Conduct trend analysis and prepare materials/ lesson learnt to communicate to various Consumer teams in relevant forums to improve staff awareness of conduct risks
• Coordinate and prepare materials for governance meetings and regional reporting
• Manage the End-to-End Mystery Shopping Program including vendor management, program design, reporting and corrective action.
• Support the Sales Surveillance, Sales Practice and Conduct Management Lead on the roll out of new guidelines or global initiatives.

Qualifications:

• 2-5 years relevant experience in risk, compliance, audit or regulatory functions.
• Experience in working with the various risk and control systems and reporting requirements
• Project management skills. Excellent organizational skills, ability to prioritize and adapt to change.
• Problem solver with the ability to translate plans in actions
• Consistently demonstrates clear and concise written and verbal communication skills
• Proficient in Microsoft Office with an emphasis on MS Excel
• Self-motivated and detail oriented
• Knowledge in retail investment and insurance product is preferable

• Bachelor’s/Universitydegree or equivalent experience

Time Type: