Officer, Sales Surveillance Senior Analyst (Wealth Management) – Citi

This role focuses on analyzing and improving sales practices in wealth management by reviewing surveillance alerts, conducting investigations, and utilizing data analysis tools. The position involves ensuring compliance, guiding team members, and assessing risks to protect the firm and its clients.

The role involves reviewing and disposition of surveillance alerts and call monitoring in accordance with established procedures. The incumbent will conduct investigations including document and call reviews, analyze client behavior using KYC, transaction data, account information, and customer surveys. The role also includes documenting exception findings, tracking corrective actions, preparing trend analysis and surveillance reports, and reporting on the quality of work of sales representatives. The position focuses on process improvement, performing financial, statistical, and operational studies utilizing data analysis tools, interpreting analytical data with professional judgment, and conducting feasibility analyses for process changes. The individual will resolve complex issues using discretion and business expertise, provide guidance and training to new hires and junior members, operate with limited supervision and autonomy, act as a subject matter expert, and appropriately assess risk in decision-making to ensure compliance and safeguard the firm and its clients.