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Vp/assistant Vp, Retail Compliance

3 weeks ago

Singapore United Overseas Bank Limited Full time

**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**:
Group Compliance is a strategic partner and trusted business enabler to the Board and Senior Management to ensure that the Bank continuously fulfils its regulatory obligations in today’s tight and dynamic regulatory landscape.

We work closely with our internal stakeholders to identify and assess underlying regulatory risks; develop practical solutions that integrate regulations into operational requirements; and actively shape and promote stronger compliance culture and literacy in the Bank.

The competitive business environment and constant product innovation coupled with the ever evolving regulatory landscape propel the compliance function to go beyond regulatory advisory to focus on active risk identification and management, instilling a robust regulatory compliance control framework and active participation in the provision of sound and sustainable solutions to meet businesses’ emerging needs.

In line with the new direction, we are looking for strategic and forward-looking individuals with sound understanding of the banking business operations and underlying risk exposure to join our Group Compliance - Retail Division. Individuals who possess good understanding of business operations, controls and/or risk management in areas related to Private Bank, Retail Banking, or Business Banking are welcome to apply.

**Responsibilities**:

- To assist in the management of the compliance requirements for the Business / Support Sectors under the purview of the division.
- To assess Business / Support Sectors’ adherence to the regulatory requirements and related internal Policies and Guidelines by:

- Developing compliance review programs;
- Execution of the compliance review programs, reporting unsatisfactory findings to Business / Support Sector Heads and Group Head of Compliance and follow up on remedial actions taken;
- Reviewing Business / Support Sectors’ policies, guidelines, procedures and manuals to assess relevancy and adequacy of compliance controls;
- Reviewing Business / Support Sectors’ proposed marketing materials for new and existing products to ensure they are in accordance with regulatory requirements and related internal policies and guidelines;
- Assessment and reporting of breaches by Business / Support Sectors to the Group Head of Compliance;
- Identifying and addressing compliance gaps in business processes; and
- Recommending appropriate remedial actions and mitigating controls
- To provide compliance advisory services to Business / Support Sectors on regulatory requirements and industry guidelines by:

- Identifying new and existing applicable laws, rules and industry guidelines, and communicating them to Business / Support Sectors;
- Analyzing the impact of new and/or changes in existing regulatory requirements and providing recommendations on how Business / Support Sectors can comply with them;
- Assisting Business / Support Sectors in setting up their own compliance framework, manuals, policies and guidelines and assessing the adequacy of controls in achieving compliance;
- Handling queries and clarifications from Business / Support Sectors relating to relevant regulatory requirements and industry guidelines.
- To assist and facilitate the training for the staff of Business / Support Sectors on regulatory requirements, including:

- Preparing training materials and quizzes;
- Reviewing/revising existing training materials and quizzes; and
- Delivering compliance training on key regulatory risk areas to the staff of Business / Support Sectors.
- To handle or participate in ad-hoc projects that require compliance support. This includes participating in relevant MAS and ABS Project Committee meetings and liaising with regulators, and internal and external auditors, as and when necessary.
- To assist Section Head in matters related to the Regulators and Auditors (Internal and External).

**Job Requirements**:

- A Degree or relevant qualification from a recognized institution with 3 - 8 years of working experience in the banking industry, preferably in retail banking, wealth management or insurance.
- Be familiar with the Financial Advisers Act, Securities & Futures Act and its related notices / subsidiary legislation. It will be advantageous to h