Kai Wen Lee

Business Risk Specialist – United Bank of Switzerland(UBS) Group AG, Singapore

•  Part of an Independent Control Function supporting both SG and HK Offices, execute controls 

    relating to Fraud, Order Taking and Investment Suitability taxonomies, the results of which are 

    translated into reports to identify areas of risk requiring improvements

•  Bilateral collaboration with the Business Risk Organization on the BAU execution of Controls, 

    enhancement of existing controls and the driving of new controls.

• Provide Risk Assessment based on factual breakdown of cases where the Control Framework requirements are being challenged
• Identify potential gaps or issues and provide feedbacks in the processes of new controls or enhancements to existing controls
•  Act as the bridge linking Front Office and Business Risk Organization
• Communicate with Front Office on both Internal and Regulatory Requirements, educate them on best practices relating to different areas of risks and help to build a good risk culture
• Relay feedback to the Business Risk Organization on the observation of Front Office practices and behaviors and provide points of emphasis on specific requirements to further enhance trainings provided to Front Office
•  Conduct trainings, handle queries and act as the liaison between other Internal Stakeholders and 

    the team so as to keep them up to date on the requirements of various controls in the capacity as  

    the Topic SME.