Sales Compliance Officer recruitment
The successful candidate should have the following responsibilities:
• Participate actively in the implementation of new or revised processes in Retail Banking in compliance with Citi's global, regional policies and guidelines and local regulatory requirements with due consideration on the business needs and risk and control.
• Review and revise procedures and conduct training as necessary to disseminate the new compliance requirements to all Retail Banking units. Actively involve key stakeholders in process design discussion to achieve the objective of full compliance with policy while balancing execution effectiveness and risk and control.
• Review any new sales surveillance and self-assessments conducted by the sales surveillance team.
• Participate in system enhancement projects to address efficiency of any reviews and tracking of review results.
• Assist the business in all audit review preparations and corrective action plan implementations.
• Manage and conduct review of the various systems security access ensuring only appropriate and relevant access is given to branch staff.
• Provide support to internal departments on branch operations and sales process matters.
The ideal candidate should fulfill the following requirements:
• University degree in Business Administration or related majors.
• Minimum 2 years of banking experience with a good understanding of consumer banking and/or investment products, process risk and controls, local and US regulations.
• Highly motivated individual with initiative, analytical and ability to work independently.
• Must be a team player and committed to delivering strong customer service to internal clients.
• Strong written communication skills and Good interpersonal skills.
• Familiar with Financial Advisory Act, Security and Futures Act preferred.