MYS CTSM KL Investments and Insurance SalesSurveillance Analyst

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MYS CTSM KL Investments and Insurance SalesSurveillance Analyst-18051688

Job Description:

  • As an Investments and Insurance Sales Surveillance Officer, you are responsible for review and disposition of alert triggers, data analysis, report reviews, review of documents / Voice logs, and conducting call outs to customers as part of compliance support to approved sales process. In addition, investigations could involve analyzing client behaviors based on client KYC, investment behavior, and account information on client as updated and available in the bank’s systems. You need to report and document review findings, track corrective actions and do follow-ups

Job Purpose:

  • 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.

Key Responsibilities:

  • 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


Knowledge/Experience/Technical Skills:

  • 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


  • Bachelor’s degree or equivalent work experience
  • Banking and financial services customer facing experience beneficial
  • Insurance and Investment product knowledge is a bonus
  • Excellent judgment and assessment skills

Excellent communication skills:

  • Confident, concise, clear and impactful
  • 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 (Listening, reading, and writing skills of Mandarin and Cantonese are mandatory)

6 April 2019
Location: Malaysia Corrientes Kuala Lumpur
Work type:
Full time
Banking and Financial Services
PLEASE! No enquiries from Recruitment Agencies or Headhunters.

Only direct applications will be considered.

This career opportunity is no longer open.
Please search for current vacancies here.

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