Job Description

Job Purpose

Provide quality assurance and strict governance for the Wealth Management Business which includes

• Assist in monitoring the new hire & existing staff trainings, development programs & certifications for the WM Sales Unit. Responsible for maintaining the WM Certification & Training program as per regional and regulatory standards.
• Assist in administration regulatory on-boarding and on-going requirements (SCA Fit and Proper, Accreditation, Continuous Professional Development, CBB FAP and CII)
• Ensuring adherence to internal controls, monitoring processes, improving governance standards and improving efficiency while maintaining strong engagement with relevant stake holders.
• Assist the unit with coordination on GRC and Product queries resolution
• Generates reports for Sales surveillance alerts across Investment & Margin Lending, Insurance and FX Products in UAE and Bahrain

Work very closely with Product Managers, Legal & Compliance, O&T, CBORC and in country senior management to;

• continuously improve the quality of the Wealth Management Portfolio and support functions
• Assist with projects and resources to meet regulatory and business governance and control requirements, including the design and implementation of end to end solutions for governance and control requirements.

Responsibilities also extend to

• Admin function for the Regional Investment & Insurance certifications & re-certifications
• Assist with sales process and sales surveillance,
• Assist /Coordinate the WM Controls Forum
• Updating CitiRisk and controls system for internal/external regulatory changes and developments,
• Assisting with Wealth Management MIS & Analytics presentation.

KEY RESPONSIBILITIES

Controls oversight

Generates reports for Sales surveillance alerts across Investment & Margin Lending, Insurance and FX Products in UAE

Performing reviews for the Offshore Wealth Services activities

Performing callback reviews / callbacks (surveys) for the WM product lines

Assist the business in Sales Practices reviews

Ensure formulation and implementation of business policies and procedures to address regulatory requirements and internal governance framework.

Assist in conducting of the Investments & Insurance Sales Supervisory Committee and sales surveillance reviews for trends & patterns, taking corrective action when appropriate and ensuring that all suitability reviews and self-assessments (MCA/RCSA) are accomplished in a timely manner.

Responsible the inputs for the WM Controls forum. Ensure that the minutes and Action items are documented and tracked.

Work closely with Product Managers, Legal & Compliance, O&T, Sales Management, Risk team to continuously improve the quality of the overall controls & Training framework for Wealth Management Products.

Training / Certification administrator and Controls oversight

Monitor the new hire & existing staff trainings, development programs & certifications for the WM Sales Unit.

Responsible for maintaining the WM Certification & Training program as per regional and regulatory standards.

Manage/Coordinate inputs for MCA testing.

Administration of regulatory certification requirements

Performing callback reviews / callbacks (surveys) for the WM product lines

Ensure formulation and implementation of business policies and procedures to address regulatory requirements and internal governance framework.

Projects & change management (including Regulatory projects):

Assist with projects, programs pertaining to change and transformation initiatives. Drive to a successful & timely implementation of tools and projects. Take up technology digital projects in line with regional guidelines, business priorities, Legal and Compliance requirements etc. This requires a large amount of co-ordination and ability to get all stakeholders aligned and cooperating to deliver the priority items. Projects may include implementation of new functionalities and enhancement of existing systems and management of change through continuous improvement of processes and practices considering global standards and changes in the business environment.

Portfolio Analytics - MIS & Analytics presentation

Assist with business data governance with focus on improvement of data quality.

Monitor portfolio quality and performance on an on-going basis to ensure adherence to defined business strategy and policy.

Responsible to retrieve & provide periodic Business Intelligence Reports. Manage the portfolio quality with Robust governance standards. Develop predictive reports using analytics to be used as radar for business and manage the Early warning Indicators. Cooperate with the CBORC team on automated data retrievals.

Prepare business dashboards and MI for reporting to Senior Management. Provide periodic updates & Ad-Hoc reports & analysis on special requests, there by assisting the Team with critical analysis, reports and presentations helpful in driving business objectives. Drive improvements in the reporting infrastructure to ensure consistent, repetitive, comprehensive and reliable reporting of results with minimal manual preparation effort.



Job Family Group: Operations - Core



Job Family: Operations Support



Time Type: Full time



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