Compl Bus Control Intmd Anlyst
This is a unique and exciting opportunity for the candidate to participate in the review and assessment of the sales process and relationship management practices undertaken by Sales staff with the objective of ensuring that business best practices are met. Responsibilities:
- Review of sales staff phone sales and documentation to assess the quality of calls and adherence to Regulatory and Bank's internal policies and procedures.
- Review of Sales Surveillance Reports to ensure corporate standards and regulatory requirements are met.
- Review of reports to detect irregular activity or unusual transaction patterns/trends.
- Ability to evaluate and identify risks of sales calls, highlight deficiencies and provide constructive feedback for improvement
- Assist in investigation of sales complaints.
- Preparation of reports and presentations.
- 4 to 6 years of relevant experience in investment surveillance, controls, product sales or sales support.
- Knowledgeable about financial products, financial advisory, legal and regulatory environment an advantage.
- Proficiency in Microsoft Office applications including Excel, Word, Powerpoint.
- Good written and verbal communication skills and tactful.
- Proficiency in written and spoken English, Chinese. Proficiency in spoken Malay/Bahasa, Cantonese or Japanese would be an advantage.
- Broad-minded, with a capacity to learn and apply knowledge.
- Able to multi-task, detail oriented, team player, patient, mature, sensible, self-assured.
- Able to apply analytical thinking and stay risk-focused in performing review activities.
Job Family Group:
- Degree in Finance, Business or Commerce preferred.
Compliance and Control Job Family:
Business Control Time Type:
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.
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