Mys Ctsm Kl
7 days ago
As an Investments and Insurance Sales Surveillance Senior Officer, you are responsible to review alert generated for Investment and/or Insurance. 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 could involve analyzing client behaviors based on client KYC, investment behavior, and account information on client as updated and available in the bank systems. The reviewer will need to report and document review findings, track corrective actions and do follow-ups.
**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.
- Listen to voice logs (Investment, Insurance and FX Call Monitoring), particularly for Hong Kong / Singapore market.
- 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 correct phone sales process to Sales Representatives
- Provide consultations to other internal departments on sales process and branch operational matters
- Report and document the Quality of Work report of Sales Representatives
- Resolve varied and complex issues using professional judgment, discretion, and business expertise
- Provide informal guidance and training to new and lower level 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
- Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, and to address process/ compliance gaps
- Implement, review and update of policies and unit procedures
**Qualifications**:
- Minimum 3 years of experience in Investment and Insurance sales surveillance or compliance or quality control or relevant unit within financial institution experience required
- Preferred: Excellent domain knowledge in retail banking Investment 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 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
- Cantonese Reading and listening skill is mandatory.
**Education**:
- Bachelor’s degree/University degree or equivalent experience
This job description provides a high-level review of the types of work performed. Other job-related duties may be assigned as required.
- **Job Family Group**:
Compliance and Control
- **Job Family**:
Business Control
- **Time Type**:
Full time
- Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
View the "**EEO is the Law**" poster. View the **EEO is the Law Supplement**.
View the **EEO Policy Statement**.
View the **Pay Transparency Posting
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