Senior Manager - Sales Surveillance, Assessor - DLF CYBERCITY 12B | CIti Job

Key Responsibilities

• Conduct initial reviews of targeted surveillance scenarios that meet predefined criteria. Analyze customer, employee, account, transactions, and related data to identify potential Sales Practice and Non-Sales Practice risks.
• Complete assessments to established priorities, procedures, and service level agreements (SLAs).
• Ensure documentation / response is completed accurately and consistently.
• Gather and document relevant case information, observations, and findings within the System.
• Ensure supporting evidence and rationale are clearly documented to support disposition decisions.
• Meet productivity, accuracy, and quality expectations.
• Maintain confidentiality and safeguard sensitive customer and employee information.
• Participate in calibration sessions, training programs, and quality reviews to ensure consistent application of surveillance standards.

Qualifications:

• 8- 10 years of experience in Sales Surveillance, Compliance, Risk Management, Internal Audit,  Quality Assurance, or related disciplines.
• Experience within financial services, banking, wealth management, insurance, or regulated industries preferred.
• Proven experience conducting investigations and managing conduct risk issues.

• Strong understanding of sales conduct risk and surveillance methodologies.

• Excellent written and verbal communication skills.

Education:

• Bachelor’s/University degree

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Job Family Group:

Risk Management

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Job Family:

Regulatory Risk

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Time Type:

Full time

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Most Relevant Skills

Analytical Thinking, Credible Challenge, Governance, Policy, Procedure, and Regulation, Risk Management Lifecycle, Stakeholder Management.

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Other Relevant Skills

For complementary skills, please see above and/or contact the recruiter.

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