• Competitive
  • Kuala Lumpur, Malaysia
  • Permanent, Full time
  • Citigroup Transaction Services (M) Sdn Bhd
  • 17 Jan 18

MYS CTSM KL - Investment and Insurance Sales Surveillance Operation Senior Analyst

MYS CTSM KL - Investment and Insurance Sales Surveillance Operation Senior Analyst

  • Primary Location: Malaysia,Wilayah Persekutuan,Kuala Lumpur
  • Education: Bachelor's Degree
  • Job Function: Operations
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 17071675


  • 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.
  • Work closely with In-Country Business to migrate Country Sales Surveillance Process to KLCSC Hub
  • Backup team lead to manage surveillance review and take care of compliance related matters
  • Work closely with technology teams in standardizing and improving review process
  • 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 feedback and coaching to Sales Surveillance Executives
  • 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


  • A person in this role has a passion for uncovering the truth and exposing potential wrongdoing activities. He/she has a genuine interest in the news and current affairs with the ability of cross referencing them during investigations. He/she is methodical, analytical, open minded and have the desire to thoroughly and accurately research, extract, compile and connect information from various sources
Additional requirements:
  • Good knowledge of English and high standard of written and oral communication skills
  • Strong analytical skills and attention to detail
  • Detailed oriented, self-motivated, and able to handle multiple projects/task
  • Demonstrated initiative and creativity in problem solving
  • Organized, disciplined and highly responsible
  • Presentation skills and ability to build strong arguments to justify his/her decision
  • Demonstrated ability to work independently, interact effectively, with different levels of management and to operate with excellent corporate work ethics (timely, honest, respectful and considerate to co-workers)
  • Good understanding of Microsoft Office (Word, Excel, etc.)
  • Minimum 3 years of experience in Investment and Insurance sales surveillance or compliance or quality control or audit or fraud unit within financial institution experience required
  • 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 activity
  • Good understanding of local sales advisory regulations
  • Managerial or manager backup experience preferred

Education level:
  • Bachelor's degree or equivalent
  • Excellent domain knowledge in retail banking Investment and Insurance products
  • Project and change management basic experience