- Providing independent and objective perspective of residual compliance risk through a robust risk identification, assessment and management process
- Facilitating internal stakeholders' design of control processes and solutions that cut across business and geographies through practical translation of the applicability of regulatory obligations into sustainable and cost effective operational requirements
- Monitoring and performing regular assessment of the state of business compliance risks, and enforcing effective remediation through root-cause analysis to address underlying issues
- Developing a robust compliance review plan and performing compliance reviews on the end-to-end controls on a risk based approach, in accordance with our established methodology
- Deploying data analytics to enable proactive monitoring and management of compliance risk, and enhance the effectiveness and efficiency of compliance review work
- Establishing tailored training programs to foster compliance literacy and promote the Bank's compliance culture and ethical conduct
- Establishing communication surveillance methodology and performing communication surveillance on in-scope dealing staff
- Advising the Bank's leadership on emerging regulations and regulatory issues surrounding strategic initiatives
- Building good rapport and trust with the regulators through open and transparent communication
- Strong understanding of Banking Act, Securities and Futures Act and Financial Advisers Act preferably with experience in the Treasury banking businesses
- Possess market acumen to adjust and adapt to the changing regulatory landscape
- Good degree in Accounting, Law, Business, Banking & Finance or equivalent
- At least 6-8 years in legal, compliance, audit, risk management or regulatory work in the financial services industry
- Good writing and communication skills with ability to develop a strong working partnership with Global Markets and internal stakeholders
- Team player and demonstrated ability to manage multiple tasks and work independently
- High personal standard of ethics, integrity and commitment to fulfilling the objectives of the position
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VP, Regulatory Compliance, Group Compliance - Singapur, Singapore - United Overseas Bank
Description
VP, Regulatory Compliance, Group Compliance
Posting Date: 16-May-2023 Location:Singapore (City Area), Singapore,
Company: United Overseas Bank LtdAbout 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
The Compliance function is a strategic partner and a trusted business enabler to the Board and senior management. It is our responsibility to ensure that the Group continuously fulfils its regulatory obligations in today's tight and dynamic regulatory landscape. To do that, we work closely with internal stakeholders to identify and to assess regulatory risks. This collaboration also includes developing practical solutions that integrate regulations into operational requirements as well as actively shaping and promoting stronger compliance culture and literacy in the Bank.
Job Responsibilities
Job Requirements
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