CITI Investment Sales Supervision Officer Competitive Salary Offered
Citibank IPB is a preferred wealth management centre for CitiGold clients residing in various countries such as Russia, Turkey, Israel, Greece, UAE and Mexico, Czech, Hungary, Romania, Poland. For a growing business the Investment Sales Qualityand Control Officer will be performing a quality control and training function to ensure IPB Sales meet the standards stated in the Suitability Guidelines and T and C Scheme.
The person will be responsible for:
Reviewing and analysing monthly sales data, ensuring it is in line with Sales Process, providing monthly feedback on results to Leadership Team where required.
Ensuring the Suitability guidelines and associated call note templates continue to accurately reflect the needs of the business and are approved by Legal and Compliance
Monitoring sales performance with regards to investment compliance
Analysis of sales surveillance exceptions with regards to investment compliance
Maintaining records of rule breaches and ensuring appropriate plans are in place to prevent reoccurrence
Ensuring Treating Customers Fairly principles are fully embedded as a core principle
Ensuring the maintenance of records and evidence to demonstrate compliance with Training and Competence Policy assisting the Training and Competence Officer
Supporting Investment Sales Supervision Officers in implementing relevant new policies and procedures
Supporting and acting as a backup for the Training and Competence Officer and Investment Sales Supervision Officers
These tasks will be undertaken by The completion of the monthly review of investment trades, including call monitoring in coordination with other Investment Sales Supervision Officers Updating training records in coordination with Training and Competence Officers
In a very internationally diverse sales team, this person will have exposure to international markets and have experience in managing requirements from both sales and compliance, and acting as an interface between the two functions.
Knowledge of banking and/or investment products and their compliance/regulatory framework
Knowledge of protection products
Background in investment sales in a regulated market
Familiarity with investment products and relevant applications (Bloomberg)
Previous experience in or working with Investment Compliance/Control function preferred
Very good team player with positive attitude
Very good organisational and communication skills
Preferably fluent in any of the following languages (Russian)
Ability to work well under pressure
External certifications recognised by the FCA (e.g. IAD preferred) Candidates who do not meet the certification requirement and other required qualifications must demonstrate willingness to complete required assessments successfully within a specified time period.
Well developed observation and assessment skills
Coaching and training delivery skills
Attention to detail
Exceptional candidates who do not meet these criteria may be considered for the role provided they have the necessary skills and experience. Valuing Diversity: Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success.
Citi is an Equal Opportunities Employer
Closing Date: April 12, 2019
Internal Number: 5649899
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