About The Role

Company: 1011 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.

Job Description

Keeping abreast of regulatory developments and assisting to assess impact on the business, including providing advice, interpretation, and recommendation. Work with Group Compliance on compliance matters and initiatives.
Providing operational advisories to the business unit; assist business units in operationalizing Compliance Policies & Guidelines / Regulatory Requirements.
Assisting to develop sales assurance controls and coordinating implementation by the respective business/support functions.
Performing periodic assessment & assurance reviews on key activities undertaken by the Business to ensure compliance/adherence with internal controls and regulatory requirements. Report findings, recommending corrective actions and preparing trend analysis as needed for management review.
Validating new regulatory controls before the effective date of the new/revised requirements
Conducting compliance training to the sales platform on FAA related sales
Co-ordinating external and internal audits (Regulator/External & Internal Auditors/ Group Compliance) of Retail Business as based on thematic coverage.
Undertaking ad hoc projects related to business / regulatory controls

Job Requirements

Degree in Business, Finance, Banking, Compliance, Risk Management, Law, or a related discipline.
Minimum 5-8 years of experience in Compliance, Risk Management, Audit, Controls, Regulatory Advisory, or a related function within the banking or financial services industry.
Strong understanding of MAS regulations, Financial Advisers Act (FAA), and applicable regulatory requirements governing retail banking and wealth management businesses.
Experience interpreting regulatory requirements and translating them into practical business and operational controls.
Knowledge of compliance monitoring, assurance reviews, control testing, and audit management.
Proven ability to assess regulatory impacts, recommend control enhancements, and support implementation of compliance initiatives.
Experience conducting compliance training and engaging with business stakeholders at various levels.
Strong stakeholder management skills with the ability to collaborate effectively across business units, Compliance, Risk, Audit, and support functions.
Excellent analytical, problem-solving, and report-writing skills, including the ability to identify trends and recommend corrective actions.
Strong project management and organizational skills with the ability to manage multiple priorities and regulatory initiatives concurrently.
Proficient in Microsoft Office applications, particularly Excel and PowerPoint.
Self-motivated, detail-oriented, and able to work independently in a dynamic and fast-paced environment.

Preferred Qualifications

Prior experience supporting Retail Banking, Wealth Management, Insurance Distribution, or Financial Advisory businesses.
Professional certifications such as ICA, CAMS, CISA, CIA, CRCM, or equivalent would be advantageous.
Experience managing regulator, internal audit, or external audit engagements.

Additional Requirements

Develop, Engage, Execute, Strategise

Be a Part of the UOB Family

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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