MYS CTSM KL Investment and Insurance Sales Surveillance Officer
Kuala Lumpur, Malaysia
- 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, and conducting call outs to customers. 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
- At least 1 to 2 years of banking experience in consumer banking products and processes
- Prior experience in a customer service, sales or compliance would be an advantage
- Good understanding of local sales advisory regulations
Qualifications / Requirements:
- Bachelors degree or equivalent work experience.
- Excellent judgment and assessment skills.
- Excellent communication skills: 1)Confident, concise, clear and impactful. 2)Written and oral formats, including presentations to audiences ranging from senior managers, regulators, auditors to analysts as evidenced by the ability to concisely and meaningfully explain and support research conclusions, both in written and verbal formats.
- Excellent work ethic (respectful, honest, considerate, self-motivated, can reliably work independently, works well under pressure, readily adapts to changing work priorities, and is accountable).
- Excellent organization and prioritization skills.
- Able to multi task.
- Proficient in MS Office.
- Being multilingual is an advantage (Cantonese listening skill is mandatory).
Grade :All Job Level - All Job FunctionsAll Job Level - All Job Functions - MY
Time Type :Full time
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