Responsible for conducting surveillance monitoring reviews to support the Investments and Insurance business across APAC. Review work includes Data analysis, report reviews, review of documents / Voice logs. Job role is an integral part of the support function that ensures compliance approved sales process.

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.

Listen to voice logs (Investment/Insurance Call Monitoring), particularly for Hong Kong market.

Document exception findings, tracking of corrective actions and its completion at individual alert level and at review level

Prepare trend analysis and surveillance reports for management reporting

Provide feedback and coaching on correct phone sales process to Sales Representatives

Provide consultations to other internal departments on sales process and branch operational matters

Report and document the Quality of Work 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

Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency.