SVP, Financial Advisory Conduct BRCM

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

Personal Financial Service : PFST COO - Business Risk Control Management

Job Responsibilities

• Support Retail Business in instilling Fair Dealing practices and end-to-end business governance across Retail business.
• Provide operational advisory to Retail Business Units, assist business units in operationalizing applicable regulatory requirements to manage risks and issues regarding financial advisory sales assurance.
• Keep abreast of regulatory developments regarding Financial Advisory Assurance, assess the impact on Retail business segments and provide timely, appropriate advice, interpretation and recommendations.
• Perform periodic Self-Assessment Review on the key activities via Review & Testing (R&T) and/or Mystery Shopping, etc., report and document Self-Assessment Review findings, recommend corrective actions, follow up and preparation of trend analysis for Retail Business.
• Provide training on key regulatory awareness related to sales assurance (working with Sales training team, where applicable).
• Participate in key initiatives and projects regarding Financial Advisory Assurance for Retail Business.

Job Requirements

• Minimum of 7-10 years of experience in a similar role within the financial services industry.
• Proven experience in business risk control management within the financial services industry.
• Strong analytical skills with the ability to interpret complex data and provide solutions.
• Excellent advisory skills with a focus on data integrity and abuse prevention.
• Leadership experience with a track record of managing teams and stakeholders effectively.
• Strong communication and interpersonal skills.
• Experience in the banking industry, with a deep understanding of retail banking products (both secured and unsecured).
• Experience dealing with both front-end and back-end positions.
• Legal experience, particularly in regulatory compliance and risk management within the financial services sector.
• Experience in developing and implementing risk policies.
• Proficiency in analytics and data interpretation.

Remark : The Bank requires the checking and collection of criminal records for candidates of this position in order to verify qualifications and/or disqualifications for the job position in accordance with the Bank’s policy.

Be a part of 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.

Apply now and make a difference.

Competencies