Officer, Sales Surveillance Senior Analyst

At Citi, we get to connect millions of people across hundreds of cities and countries every day.  And we've been doing it for more than 200 years.  We do this through our unparalleled global network.  We provide a broad range of financial services and products to our clients – whether they be consumers, corporations, governments or institutions – to help them meet their biggest opportunities and face the world's toughest challenges.

Shape your Career with Citi

Citi Wealth brings together the full power of Citi to serve the entire continuum of wealth clients, from affluent to ultra-high net worth to family offices.  The strategies we create help our clients maintain liquidity while maximizing yields, transact in foreign currency and across borders, and manage fluctuating expenses or cash flow.  We are uniquely suited to helping our clients meet their banking needs across regions through our global network.

We're currently looking for a high caliber professional to join our team as Officer, Sales Surveillance Senior Analyst (Internal Job Title: Client Service Intmd Analyst - C11) based in Malaysia. 

In this role, you're expected to:

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 team lead, this role will be responsible for supporting the team lead in managing the Sales Surveillance review 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.

Sales Surveillance senior analyst is responsible to review alert generated for Investment, Insurance and FX. 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 will involve analyzing client behaviors based on client KYC, investment/transaction behavior and account information on client as updated and available in the bank systems. You will need to report and document review findings, track corrective action, and do follow-up.

• Review and disposition of surveillance alert / call monitoring generated as per the surveillance / call monitoring procedures. Investigations will involve document/ call reviews, analyze client behaviors based on client KYC, transactions, account information, customer surveys etc.

• Document exception findings, tracking of corrective actions, follow up and remediation.

• Prepare trend analysis and surveillance reports for management reporting.

• Report and document the Quality of Work report of Sales Representatives.

• Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, and to address process / compliance gaps.

• Perform financial, statistical, and operational studies using analytical skills and knowledge of data analysis tools and methodologies.

• Interpret data and results based on the analysis of information and application of professional judgement.

• Perform feasibility analysis for significant process changes and partner with business teams to develop process improvements and solutions that help to streamline the operational workflow.

• Resolve varied and complex issues using professional judgment, discretion, and business expertise.

• Provide guidance and training to new hire and junior team members as needed.

• 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.

• 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:

• Bachelor's degree/University degree or equivalent experience

• Minimum 3 to 5 years of experience in conducting surveillance review for Wealth Management and Insurance transactions or in Compliance/Controls related role within financial institution experience required.

• Preferred: Excellent domain knowledge in Wealth Management 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 Wealth Management and Insurance transactions.

• 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.

• Japanese/Mandarin/Cantonese language reading writing and listening skill is an added advantage

Working at Citi is far more than just a job. A career with us means joining a family of more than 230,000 dedicated people from around the globe. At Citi, you'll have the opportunity to grow your career, give back to your community and make a real impact.

Take the next step in your career, apply for this role at Citi today

Job Family Group:

Private Client Coverage

Job Family:

Client Services

Time Type:

Full time

Most Relevant Skills

Please see the requirements listed above.

Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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