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VP, Operational Excellence, Group Compliance
3 months ago
Posting Date: 21 Aug 2024
Location:
Singapore (City Area), SG, 048624
Company: United Overseas Bank Ltd
About UOB
United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia Pacific, Europe and North America. In Asia, we operate through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia and Thailand, as well as branches and offices. Our history spans more than 80 years. Over this time, we have been guided by our values - Honorable, Enterprising, United and Committed. This means we always strive to do what is right, build for the future, work as one team and pursue long-term success. It is how we work, consistently, be it towards the company, our colleagues or our customers.
About the Department
The Compliance function is a strategic partner and a trusted business enabler to the Board and senior management. It is our responsibility to ensure that the Group continuously fulfils its regulatory obligations in today's tight and dynamic regulatory landscape. To do that, we work closely with internal stakeholders to identify and to assess regulatory risks. This collaboration also includes developing practical solutions that integrate regulations into operational requirements as well as actively shaping and promoting stronger compliance culture and literacy in the Bank.
Job Responsibilities
Reporting to the Head of Operational Excellence Team, the successful candidate will lead and manage a team undertaking the following key responsibilities:
Quality Review
- Perform regular review of selected samples of transaction monitoring (TM) alerts closed by analysts, to ascertain that rationale to dismiss the alert is adequately justified and documented in accordance to procedural requirement
- Perform regular review on key risk areas such as ensuring that alerts are review and/or filed with suspicious transaction report (STR) on a timely basis and ascertain appropriate quality of STR filed, etc.
- Conduct periodic assessment of key observations to identify key areas of concerns and determine if additional controls and/or training should be put in place
- Provide monthly management report on key indicators in relation to transaction surveillance activities, to facilitate management oversight
- Provide regular statistics to facilitate internal monitoring
- Conduct periodic update of operating procedure to ensure that process is updated
- Monitoring daily exception report arising from robotic processes to ensure that highlighted exceptions are addressed
- Conduct manual alert allocation for cases which are not supported by the robotic processes
- Provide support to address requests from internal/external audit/inspection
- Provide support for transformation initiatives, where require
- Degree or professional qualification in business or banking/financial services related areas
- At least 8 - 12 years' experience in TM/Customer Risk intelligence/investigations related work or experience in audit/assurance will also be considered
- Excellent analytical and problem solving skills
- Good knowledge/understanding of banking and financial services laws & regulations, compliance best practices and understanding of financial products & systems
- Strong interpersonal, communication and presentation skills
UOB is an equal opportunity employer. UOB does not discriminate on the basis of a candidate's age, race, gender, color, religion, sexual orientation, physical or mental disability, or other non-merit factors. All employment decisions at UOB are based on business needs, job requirements and qualifications. If you require any assistance or accommodations to be made for the recruitment process, please inform us when you submit your online application.
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