• Competitive
  • Singapore
  • Permanent, Full time
  • Citibank NA
  • 2019-05-26

Sales Surveillance Manager

Sales Surveillance Manager

  • Primary Location: Singapore,Singapore,Singapore
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 19008330


Sales Surveillance Review Manager
Retail Banking:
Job Description:
  • Support the Retail Bank business in the area of Sales process compliance for the Investments, Treasury, and Insurance businesses
  • Administer the monthly surveillance program through a team of surveillance officers and supervisors with an objective to identify inherent process and control gaps. Surveillance methodology includes reviews focused at Product and across Channels. i.e. Face to face and Phone sales, across Investments and Insurance products
  • Consolidate results from the monthly surveillance reviews in accordance with the requirements of Balanced Scorecard Framework (BSC) such as RM transaction sampling, documentation review, client survey and staff BSC grading. Assess the overall quality of financial advisory services provided by the representatives from the exceptions and infractions discovered from the surveillance reviews and document in the monthly surveillance report
  • Participate in quarterly Retail Banking Mystery shopping exercise panel review on suitability assessment, post sales client survey and infraction review for categorization. Identify any weakness in sales process and recommendation of suitable products to customer and work with sales process team to develop corrective action plans. Share learning with the advisors and the branch management team
  • Ensure Sales practices are in compliance with Citigroup policies and local regulations and that sales supervision and monitoring processes are fully effective
  • Prepare and publish the monthly surveillance report with detailed trend analysis on surveillance activities for Management and Compliance Reporting
  • Provide Training and consultation to the branch sales staff on Sales process for Investments and Insurance products
  • Administer the Quality of Work Points system to the sales platform for computation of adjusted sales incentives
  • Continuously seek and evaluate process improvements and automation initiatives to enhance the efficiency of the surveillance program. Support the business in conduct of ad-hoc investigations that could relate to sales process non-compliance, surveillance for new product launches and other special projects
  • Assist in the review of and update of policies and procedures for the Investments and Insurance areas
  • Support audit review preparation, sample preparation and corrective actions design and implementation


  • Minimum eight years in the Financial Services industry and minimum two years in Control Management-related role
  • Minimum Bachelor's Degree or equivalent professional qualification
  • Strong understanding of Consumer Bank products and branch operation processes
  • Team player who can gather cooperation and buy-ins from key business stakeholders
  • Risk-based thinking and analytical mindset
  • Self-starter who can work independently
  • Ability to multi-task and manage concurrent projects and deliverables
  • Proficient in the use of basic Microsoft applications (Word, Excel , Powerpoint)