Sales Surveillance Assessor

About the role

The Sales Surveillance Assessor conducts initial reviews, research, and assessments of individuals, accounts, and referrals to identify potential sales practice risks. This role is the first line of review in the Sales Surveillance process, ensuring thorough evaluation and proper documentation.

Key responsibilities

• Conduct initial reviews of targeted surveillance scenarios that meet predefined criteria.
• Analyze customer, employee, account, transaction, and related data to identify potential sales and non‑sales practice risks.
• Complete assessments according to priorities, procedures, and service level agreements.
• Document case information, observations, and findings within the system.
• Maintain confidentiality and safeguard sensitive information.

Required profile

• 4–6 years of experience in sales surveillance, compliance, risk management, internal audit, or quality assurance.
• Experience in financial services, banking, wealth management, insurance, or other regulated industries preferred.
• Strong knowledge of Spanish, as some documentation is in Spanish.
• Proven experience conducting investigations and managing conduct risk issues.

Required skills

• Spanish (mandatory)