
Sales Surveillance Officer
2 weeks ago
**Responsibilities**:
- Review of sales staff phone sales and documentation to assess the quality of calls and adherence to Regulatory and Bank’s internal policies and procedures.
- Review of Sales Surveillance Reports to ensure corporate standards and regulatory requirements are met.
- Review of reports to detect irregular activity or unusual transaction patterns/trends.
- Ability to evaluate and identify risks of sales calls, highlight deficiencies and provide constructive feedback for improvement
- Assist in investigation of sales complaints.
- Preparation of reports and presentations.
**Qualifications**:
- Past experience in sales surveillance, risk and controls, audit in a financial institution, or investment product sales or sales support will be useful.
- 5 to 8 years of work experience. Past experience in sales surveillance, risk and controls, audit in a financial institution, or investment product sales or sales support will be useful.
- Knowledgeable about financial products, financial advisory, legal and regulatory environment an advantage.
- Good written and verbal communication skills and tactful.
- Ability to review/transcribe phone conversations conducted in Chinese/Cantonese/Bahasa/Japanese will be an advantage.
- Able to multi-task, detail oriented, team player, patient, mature, sensible, self-assured.
**Education**:
Degree in Finance, Business or Commerce preferred.
- **Job Family Group**:
Compliance and Control
- **Job Family**:
Business Control
- **Time Type**:
Full time
- Citi 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
-
Sales Surveillance Officer
2 weeks ago
Singapore PRUDENTIAL ASSURANCE COMPANY SINGAPORE (PTE) LIMITED Full timeThe role of the Sales Surveillance Officer reports to Lead, Sales Surveillance. You are required to support the Lead of Sales Surveillance in administering the conduct risk framework and administering the Balanced Scorecard framework and sales advisory standards for the company. You are also required to perform investigation of any sales conduct related...
-
Sales Surveillance Officer
1 week ago
Singapore Prudential plc Full timePrudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career...
-
Sales Surveillance Officer
4 days ago
Singapore Prudential Full timePrudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career...
-
22461191 Sales Surveillance Officer
6 days ago
Central Singapore Emprego SG Full time**Location** - Singapore, Central Singapore**Job Type** - Full Time**Salary** - $4,000 - $65,000 Per Month**Date Posted** - 5 hours agoAdditional Details **Job ID** - 106870**Job Views** - 1Roles & Responsibilities **Responsibilities**: - Review of sales staff phone sales and documentation to assess the quality of calls and adherence to Regulatory and...
-
Sales Surveillance Officer
5 days ago
Singapore Citi Full time**Responsibilities**: - Review of sales staff phone sales and documentation to assess the quality of calls and adherence to Regulatory and Bank’s internal policies and procedures. - Review of Sales Surveillance Reports to ensure corporate standards and regulatory requirements are met. - Review of reports to detect irregular activity or unusual transaction...
-
Sales Surveillance Intern
6 days ago
Singapore Prudential plc Full timePrudential's purpose is to help people get the most out of life. We will deliver our purpose by creating a culture in which diversity is celebrated and inclusion assured, for our colleagues, customers, and partners. We provide a platform for our people to do their best work and make an impact to the business, and in exchange, we support our people's career...
-
Surveillance Officer
4 weeks ago
Singapore RESORTS WORLD AT SENTOSA PTE. LTD. Full timeRoles & ResponsibilitiesJob Responsibilities Conduct pro-active surveillance through CCTV of all casino related operations to ensure the integrity of the games, the safety and security of our guests, team members and company assets are maintained. Investigate complaints/queries in a timely manner. Observe, record and report on all matters relating to the...
-
Compliance Surveillance
4 days ago
Singapore Ashford Benjamin Ltd. Full timeAshford Benjamin are supporting an Investment Bank who are building out their Singapore office. As part of this growth, a new opportunity has arisen within their Compliance function for a Surveillance professional who will monitor sales and trading activities, via surveillance of both communications and trade execution. As part of this role, you will be...
-
Sales Surveillance Officer
1 week ago
Singapore Citi Full timeYour responsibilities include: Review of sales staff phone sales and documentation to assess the quality of calls and adherence to Regulatory and Bank’s internal policies and procedures. Review of Sales Surveillance Reports to ensure corporate standards and regulatory requirements are met. Review of reports to detect irregular activity or unusual...
-
Sales & Conduct Surveillance Officer
6 days ago
Singapore PRUDENTIAL ASSURANCE COMPANY SINGAPORE (PTE) LIMITED Full time**Balanced Scorecard (BSC) Framework** - Administer the MAS Balanced Scorecard (BSC) framework. - Conducting checks required under the BSC framework, including documentation review of sales documents, client surveys and BSC validation of misconduct and mystery shopping cases. - Meet the requirements of the regulatory Balanced Scorecard (BSC) Framework...