Mys Ctsm Kl

6 hours ago

Kuala Lumpur, Malaysia Citi Full time

**Business Overview**
Asia Citi Global Wealth business serves markets across Hongkong, Singapore, London and Dubai. The business in Asia offers a diversified range of products ranging from insurance products to complex wealth management products to in excess of 5.4 million customers with a deposit book of US$93 Billion. With more than a century of enviable brand and market leadership, we are competitively well-positioned to grow a high quality customer base that benefits most from our capabilities.

**Objective Overview**
This role is part of the CGW APAC Risk and Control Team and is integral to establishing a robust investment and insurance sales surveillance governance framework that enables effective risk and control management for Retail Bank franchise within CGW.

Reporting to the Regional Investment and Insurance Sales Surveillance Unit Head (KL Invictus Hub Head), this role will be responsible for supporting the KL Invictus Hub Head in managing the Invictus team in the Kuala Lumpur hub where the investment and insurance sales surveillance processes are centralized regionally to drive greater efficiency, consistency and enhanced governance of the sales surveillance process.

**Responsibilities**:
The role will support the KL Invictus Hub Head in managing a centralized dedicated team employees responsible for developing and delivering a best in class surveillance program for key markets (HK and UK) in support of key GCB Product leads.

**Enhancing current Surveillance program**:

- Responsible for leading team of sales surveillance analysts to deliver sales surveillance program from Hongkong Wealth Management business.
- Responsible for handling Sales Surveillance procedure changes and working with Wealth Management Product governance teams in Investment, Insurance and FX and teams in 2nd line of defense in ensuring procedures are up-to-date and relevant in current context.
- Engaging with countries on surveillance related items, work with CBORC IISS team in identifying gaps, raising CAPs, evaluating gaps identified in one country for applicability in rest of the markets within Asia and working with these countries till remediation and close looping.
- Support the KL Invictus Hub Head in executing a robust control and governance framework and associated processes to support the effective review of investment and insurance sales surveillance activities across markets in scope within Asia/ EMEA.
- Lead the migration efforts for migration Surveillance process from working with countries on approvals for outsourcing, understanding the data sets, working with technology and completing the migration from manual mode to an end-to-end automated monitoring.
- Manage the operational SLA for countries under migration till parallel run is completed by ensuring onboarding of staff, training and automation of process.
- Support the KL Invictus Hub Head in implementing a robust regional continuous control monitoring and reporting framework to enable the timely and accurate analysis, reporting and escalation of qualitative and quantitative MIS that enable risk and control awareness, to facilitate risk-based management and to identify emerging risks, risk concentrations, and trends for corrective and preventive actions.
- Review capacity planning and perform continuous process enhancement review and ensure that efficiency and productivity of the unit is within the agreed KPI and Service Level Agreements.
- Lead the training efforts for the Hub in ensuring key changes in procedure and learnings from various reviews are translated and communicated to Sales Surveillance analyst to ensure consistent delivery of surveillance program.
- Perform Horizontal review on any gaps identified in one market/product to ascertain applicability of the same in other markets.
- Exercise full leadership and supervisory responsibility. Responsible for team performance including timeliness of work, quality of reviews and monthly/yearly scorecards
- Assist with requests and may interface with compliance and audit examiners
- Ensure appropriate controls are in place for all work performed
- Drive corrective actions and develop corrective action recommendations
- 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.
- Ability to manage teams.

**Qualifications**:

- 1. At least 3 years of successful experience in leading a team with diverse cultural background and managing priorities, process and processing components to achieve expected (or better-than-expected) results
2. Current Surveillance/Continuous Monitoring experience in the preparation of Management reports, assurance tests, audit reports or other product/solution delivery communications.
- Good understanding of operational risk and control processes and procedures.
- Excellent quantitative, analytical and problem solving skills with attention to det

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