Investment and Insurance Sales Surveillance Analyst
2 days ago
The Investment and Insurance Sales Surveillance Senior Analyst is a developing professional role. Applies specialty area knowledge in monitoring, assessing, analyzing and/or evaluating processes and data. Identifies policy gaps and formulates policies. Interprets data and makes recommendations. Researches and interprets factual information. Identifies inconsistencies in data or results, defines business issues and formulates recommendations on policies, procedures, or practices. Good understanding of how the team interacts with others in accomplishing the objectives of the area. Develops working knowledge of industry practices and standards. Limited but direct impact on the business through the quality of the tasks/services provided. Impact of the job holder is restricted to own team.
**Key Responsibilities**:
- Perform maker role to 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 Investment and Insurance Product Manager, Sales and Sales Supervisor to complete surveillance alert response within timely.
- Document exception findings, tracking of corrective actions and its completion at individual alert level and at review level
- Provide trend analysis and surveillance reports for management reporting
- Provide consultations to other internal departments on sales process and branch operational matters
- Report and document the Quality of Work / Exception / Observation report of Sales Representatives
- Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, and to address process/ compliance gaps
- Implementation of processes and procedures on compliance matters
- Updates documentation, and communicating / training new process and procedures to business partners.
- Monitor work progression ensuring completion of assignments by requested due date**Qualifications**:
- At least 2 years of relevant experience
- Demonstrated organizational and follow-up skills; ability to multi-task and maintain composure in a high-volume environment
- Excellent time management skills, effective communication skills (written and verbal) and proven analytical/problem solving abilities
- Proficient in Microsoft Office
- Ability to work under pressure and manage deadlines or unexpected changes in expectations or requirements
- Self-motivated and details oriented
- Prior experience in sales or compliance would be an advantage
**Education**:
- Education level: Bachelor’s degree or equivalent
- Preferred: Excellent domain knowledge in retail banking Investment and Insurance products
- **Job Family Group**:
Compliance and Control
- **Job Family**:
Business Control
- **Time Type**:
Full timeCiti 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.
View the "**EEO is the Law**" poster. View the **EEO is the Law Supplement**.
View the **EEO Policy Statement**.
View the **Pay Transparency Posting
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