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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)
Internal Number: 5930897
About Citibank NA
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