Investment and Insurance Sales Surveillance Manager

10 hours ago

กรงเทพมหานคร, Thailand Citi Full time

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 checker 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
- Identify misconduct sales practices, policy breach and suspicious sales through surveillance alerts reviewing then escalate exception case or observation to Business for further investigation
- Create aging tracking and managing surveillance alerts to complete within timeline. Including escalate overdue case to Sales Supervisor and management
- Document exception findings, tracking of corrective actions and its completion at individual alert level and at review level
- Provide feedback and coaching to Investment and Insurance Sales Surveillance Analyst
- 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
- Review and update of policies and unit procedures
- Implementation of processes and procedures on compliance matters
- Monitor work progression ensuring completion of assignments by requested due date**Qualifications**:

- Minimum 3 to 5 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
- Proficient in Microsoft Office
- Ability to work under pressure and manage deadlines
- Self-motivated and detail oriented
- Proven organization and time management skills
- Demonstrated problem-solving and decision-making skills
- Consistently demonstrates clear and concise written and verbal communication skills
**Education**:

- Education level: Bachelor’s degree or equivalent
- Preferred: Excellent domain knowledge in retail banking Investment and Insurance products
- Preferred: Project and change management basic experience
- **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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