Vice President, Sales Surveillance Team Lead

7 months ago

Kuala Lumpur, Malaysia Citi Full time

Citibank serves as a trusted advisor to our retail, mortgage, small business and wealth management clients at every stage of their financial journey. Through Citi's Access Account, Basic Banking, Citi Priority, Citigold and Citigold Private Client, we offer an array of products, services and digital capabilities to clients across the full spectrum of consumer banking needs worldwide.

Asia Citi 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

We’re currently looking for a high caliber professional to join our team as **Vice President, Sales Surveillance Team Lead (Wealth Management) - Hybrid** (Internal Job Title: Compl Bus Control Sr Manager - **C13**) based in KL, 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.
- We believe all parents deserve time to adjust to parenthood and bond with the newest members of their families. That’s why in early 2020 we began rolling out our expanded Paid Parental Leave Policy to include Citi employees around the world.
- We empower our employees to manage their financial well-being and help them plan for the future.
- 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, including generous paid time off packages.
- We offer our employees resources and tools to volunteer in the communities in which they live and work. In 2019, Citi employee volunteers contributed more than 1 million volunteer hours around the world.

This role is part of the Asia Citi Wealth Risk and Control Team and is integral to establishing a robust Investment, Insurance, and FX sales surveillance governance framework that enables effective risk and control management for Retail Bank franchise within Asia Wealth Management Business.

Reporting to Sales Surveillance Hub Head, this role will be responsible for supporting the Hub head in managing the Sales Surveillance team in the Kuala Lumpur Hub where the Investment, Insurance and FX sales surveillance processes are centralized in the Hub to drive greater efficiency, consistency and enhanced governance of the sales surveillance process.

Has responsibility for volume, quality, timeliness and delivery of end results of an area. May have responsibility for planning, budgeting and policy formulation within area of expertise. Involved in short-term planning resource planning. Full management responsibility of a team, which may include management of people, budget and planning, to include duties such as performance evaluation, compensation, hiring, disciplinary and terminations and may include budget approval.

In this role, you’re expected to:

- Manage and drive the incident management process from Start to Finish.
- Responsible for leading a team of sales surveillance analysts to deliver sales surveillance program (surveillance alerts and call monitoring) for Asia 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 matters, work with Cluster Business Risk & Control team in identifying gaps, raising CAPs, evaluating gaps identified in a market for applicability in rest of the markets within Asia, and collaborating with these markets till remediation is complete.
- Support the KL Hub Head in executing a robust control and governance framework and associated processes to support the effective review of Investment, Insurance and FX sales surveillance activities across markets in scope within Asia/ EMEA.
- Lead the migration efforts for migration sales surveillance process from working with markets on outsourcing approvals, understanding surveillance data sets, working with technology to complete the migration from manual mode to an end-to-end automated monitoring solution.
- Manage the operational Service Level Agreements (SLA) for markets and ensuring onboarding of staff, training and automation of process.
- Support the

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