First VP/VP, Group Compliance-Corporate & Regulatory Affairs and Non-Bank Subsidiaries
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 successful candidate will join Group Compliance Division in its Investment Management Department to provide value–added regulatory compliance advice and services to the asset management business of the UOB Group. You will also assist in enhancing Group Compliance's global oversight of the overseas investment management entities by providing functional guidance to the Compliance Officers of these entities.Job Responsibilities
- To assist the Head for the Group Compliance Division in strengthening the compliance culture within the UOB Group and delivering key sector initiatives
- To provide regulatory compliance advice on the relevant laws and regulations, policies, products and business initiatives
- To identify and discuss compliance issues as and when the issue arises and to recommend appropriate course of actions to deal with these issues
- To execute the compliance plans for the investment management entities
- To review marketing materials, new products/services and new business initiatives to ensure compliance with regulatory requirements and internal compliance policies and standards
- To conduct compliance review on the investment management business. To conduct compliance training
- To liaise with internal auditors, external auditors and regulators on audit/inspection and regulatory issues. Provide oversight for the overseas investment management entities.
- Degree holder or professional qualification in business, law or related discipline
- Possess good understanding of the securities laws and regulations (e.g. Securities and Futures Act & Financial Advisers Act) and the asset management business
- Prior experience in legal, compliance, audit or regulatory work in financial services industry
- Strong analytical and problem solving skills and ability to prioritize and organise work effectively and efficiently to meet with targets and deadlines
- Excellent verbal and written communication skills
- Good interpersonal skills and team player
- Conversant in programming languages (R/Python) and knowledge in statistics would be an added advantage
Apply now and make a difference.
United Overseas Bank Ltd (UOB)