Assistant Vice President, Regulatory Compliance

6 days ago

Singapore UOB Asset Management Ltd 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**:
**UOB Asset Management** is a leading Asian asset manager with award-winning investment expertise in fixed income and equities. Headquartered in Singapore, we offer global investment management expertise to individuals, institutions and corporations from a regional network spanning Thailand, Malaysia, Brunei, Japan and beyond. Our comprehensive product suite includes innovative solutions covering retail unit trusts, exchange-traded funds and customised portfolio management services.

**Responsibilities**:
Key responsibilities:

- Review and prepares Regulation Risk Assessments, Annual Compliance Plan and Manual;
- Manage regulatory compliance with applicable legislations, rules and regulations that govern asset management, as well as Group policies, standards, and international best practices for compliance operations;
- Review all product-related materials, advertising, marketing and sales promotion materials to ensure the business complies with Securities & Futures Act (“SFA”) and other applicable regulatory requirements, internal and Group policies (including “fair dealing”);
- Ensure compliance with all relevant Anti-Money Laundering and Anti-Bribery & Corruption regulations, laws, internal and Group policies;
- Provide adequate oversight to ensure the Company has effective control environment to minimize compliance risk;
- Provide advice, guidance and on-going training to staff on the appropriate implementation of compliance framework which includes policies and procedures such as those contained in the Compliance Manual, internal codes of conduct and practice guidelines.
- Advise the various units/ departments of any implications of new regulations/ regulatory changes and provide guidance on the proper and prompt implementation of procedures to comply with the requirements;
- Monitor, test and report compliance with relevant compliance risk management framework and internal policies/procedures to Board of Directors, Senior Management, Group Compliance, and, if required, to any regulatory authority;
- Oversight of UOBAM’s subsidiaries, including monthly reporting and annual review of the subsidiary’s Compliance Manual.
- Develop and conduct annual update of the Regulatory Risk Assessment Registers ("RRAR") which document the regulatory obligations (Domicile Country) relevant to the subsidiary, the corresponding internal controls and procedures and the compliance risk ratings;
- Conduct Compliance Reviews on the compliance with regulatory requirements and related internal policies and guidelines;
- Handle and coordinate UOBAM’s responses to requests for information and consultation papers from the auditors and regulators;
- Reporting of regulatory issues and breaches of the subsidiary to Group Compliance ("GC") and Domicile Country regulator, if required;
- Facilitating and/or providing training to the staff on regulatory issues/requirements;
- Other compliance tasks as assigned by Head of Regulatory Compliance where required.

**Job Requirements**:

- Bachelor’s degree in banking, law or related discipline
- 3-5 years’ experience in Asset Management / Banking, Compliance, Legal
- Requires superior analytics and problem-solving skills.
- Must be attentive to details
- Ability to work in a fast-paced, team-oriented environment
- A strong & assertive communicator in speaking & writing

**Be a part of UOB Family**:

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