Senior Manager - Sales Surveillance, Assessor

Job Summary

The Case Assessor is responsible for conducting initial reviews, research, and assessments of individuals, accounts, and submitted referrals to identify potential Sales Practice and Non-Sales Practice risks. This role serves as the first line of review within the Sales Surveillance process, ensuring that all triggered scenarios are thoroughly evaluated, appropriately documented, and dispositioned in accordance with established procedures and service level expectations.

The Case Assessor applies analytical skills, attention to detail, and sound judgment to gather relevant information, assess potential risks, and facilitate accurate case routing for further investigation or closure.

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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