GCG - Sales Compliance Officer

Citibank NA
13 Aug 2017
16 Aug 2017
Contract Type
  • Primary Location: Singapore,Singapore,Singapore
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 17044635


  • Job Title: Sales Compliance Officer
  • Business: Global Consumer Bank
  • Region: APAC
  • Reporting to: Team Manager
  • Location: Singapore
  • Level: R
Job Description
Job Purpose:
Responsible for conducting surveillance monitoring reviews to support the Investments and Insurance business. 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 validates compliance to approved sales process by the branch Sales staff.
Key Responsibilities:
  • Report and document of review findings, corrective actions tracking and follow-up actions
  • Prepare trend analysis and surveillance reports for management reporting
  • Provide feedback and coaching on correct phone sales process to Sales Representatives
  • Provide feedback and coaching on surveillance  process and methodology to surveillance HUB Staff at KL
  • 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, through automation, leveraging Invictus capabilities and to address process / compliance gaps
  • Conduct quarterly self-assessment on Branch Sales and Customer Service processes
  • Review and update of policies and department procedures
  • Implementation of processes and procedures on compliance matters
  • Training to Sales Representatives on new compliance procedure and processes 


Incumbent Specification
Knowledge / Experience / Technical skills:
  • At least 2 years of banking experience in consumer banking products and processes
  • Prior experience in a customer service, Investment / Insurance Sales and /or compliance would be an advantage
  • Good understanding of local sales advisory regulations    
Personal Skills:
  • Strong verbal and written communication skills
  • Detailed and meticulous
  • Analytical  with good investigation skills
  • Ability to work independently as well as in a team
  • Team player who is result driven with strong execution skills