Sales Surveillance Analyst Wealth Management

Kuala Lumpur - Selangor, Malaysia

Job Description

The Ops Sup Analyst 1 is an entry-level position responsible for providing operations support services, including but not limited to; record/documentation maintenance, storage & retrieval of records, account maintenance, imaging and the opening of accounts in coordination with the Operations - Core Team. Additionally, the Ops Sup Analyst 1 serves as the liaison between operations staff, relationship managers, project managers, custodians and clients. The overall objective of this role is to provide day-to-day operations support in alignment with Citi operations support infrastructure and processes.

Responsibilities:

  • Perform business analysis and documentation of the current and future state of Client Reports and Advices (client communication letters, notices, and confirms)
  • Provide regular status updates for all project participants and create presentations for steering committee updates
  • Work with various Legal & Compliance teams to obtain sign-off on all regulatory business requirements
  • Serve as primary liaison between the key business stakeholder and technology, including recommending business priorities by advising stakeholders on options, risks, costs, prioritizations, and delivery timelines
  • Recommend business priorities by advising stakeholders on options, risks, costs, prioritizations, and delivery timelines
  • Create and facilitate training sessions, webcast demos and write User Acceptance Test scripts and business scenarios against specified requirements
  • Create, manage and maintain project plans and act as the project manager for all follow ups across various departments
  • Work on multiple projects in parallel focusing on continued delivery of regulatory client deliverables, such as legal statements/performance reporting/advices/letters/notices
  • 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.
Qualifications:
  • Previous relevant experience preferred
  • Proficient in Microsoft Office
  • General knowledge of client reporting across the industry and our competitors
  • Working knowledge of SQL environments and database queries
  • Proven organization and time management skills
  • Demonstrated problem-solving and decision-making skills
  • Consistently demonstrates clear and concise written and verbal communication skills
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.

Key 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 Call Monitoring), particularly for Hong Kong 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
  • Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, and to address process/ compliance gaps
  • Review and update of policies and unit procedures
  • Implementation of processes and procedures on compliance matters
Knowledge/Experience/Technical skills:
  • At least 1 to 2 years of banking experience in consumer banking products and processes
  • Prior experience in a customer service, sales or compliance would be an advantage
  • Good understanding of local sales advisory regulations
Qualifications / Requirements
  • Bachelor's degree or equivalent work experience.
  • Excellent judgment and assessment skills.
  • Excellent communication skills:
  • Confident, concise, clear and impactful.
  • Written and oral formats, including presentations to audiences ranging from senior managers, regulators, auditors to analysts as evidenced by the ability to concisely and meaningfully explain and support research conclusions, both in written and verbal formats.
  • Excellent work ethic (respectful, honest, considerate, self-motivated, can reliably work independently, works well under pressure, readily adapts to changing work priorities, and is accountable).
  • Excellent organization and prioritization skills.
  • Able to multi task.
  • Proficient in MS Office.
  • Being multilingual is an advantage (Cantonese listening, read and write skill is mandatory).


Job Family Group: Operations - Core



Job Family: Operations Support



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.

Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review .

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Job Detail

  • Job Id
    JD867040
  • Industry
    Not mentioned
  • Total Positions
    1
  • Job Type:
    Full Time
  • Salary:
    Not mentioned
  • Employment Status
    Permanent
  • Job Location
    Kuala Lumpur - Selangor, Malaysia
  • Education
    Not mentioned