Sales Surveillance Senior Analyst (Wealth Management)

• Review and disposition of alert triggers based on investigation results
• Document exception findings, tracking of corrective actions and its completion
• 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 / Exception / Observation report of Sales Representatives
• Continuously seek process improvement to enhance efficiency of the surveillance monitoring process
• Review and update of policies and unit procedures
• Implementation of processes and procedures as per the compliance and business requirements
• Updates documentation and communicating / training new processes and procedures to business partners
• Monitor work progression ensuring completion of assignments by requested due date
• Appropriately assess risk when business decisions are made

• At least 2-3 years of relevant experience
• Demonstrated organizational and follow-up skills
• Ability to multi-task and maintain composure in a high-volume environment
• Excellent time management skills
• Effective communication skills (written and verbal)
• Proven analytical/problem solving abilities
• Proficient in Microsoft Office
• Ability to work under pressure and manage deadlines or unexpected changes in expectations or requirements
• Self-motivated and details oriented
• Prior experience in sales, compliance or controls would be an advantage
• Bachelor’s/University degree or equivalent experience

Prior experience in sales, compliance or controls

• Programs and services for physical and mental well-being including access to telehealth options, health advocates, confidential counseling
• Access to an array of learning and development resources
• Variety of programs that help employees balance their work and life