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MGR-AVP, Market Conduct and Surveillance, Compliance

Posting Date:  10-Mar-2023

Kuala Lumpur, Wilayah Persekutuan, MY

Company:  United Overseas Bank (Malaysia) Bhd

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

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

  • Staff Personal Trading
    • Assist the Team Lead in administering and maintaining the Pre-Trade Clearance System.
    • Perform follow-up actions on staff trading violations.
    • Conduct periodic compliance review and testing on Covered Entities / Covered Persons to ensure compliance with the Group Staff Trading Policy.
    • Assist the Team Lead in reporting of breach of Group Staff Trading Policy to Country Human Resource and/or Business Head/its equivalent.
  • Communication Surveillance
    • Assist the Team Lead in development and review of Electronic Communication Surveillance Policy
    • Assist the Team Lead in assessing the risk of any new communication channels to be used within dealing room.
    • Conduct surveillance on approved electronic communication tools of the Global Market dealing room staffs to detect potential irregularities in the determination and submission of benchmark, including any attempts to inappropriately influence the setting of these benchmarks.
    • Assist Product Control team from Market Risk Management in their market conduct investigations.
    • Assist the Team Lead in reporting of Market/Professional misconduct detected via communication surveillance to Country Treasury Head and/or Country Human Resource.
  • Others
    • Perform the regulatory risk assessment of applicable laws, rules, regulations and guidelines to assess its impact on the Bank’s Wholesale Banking and Treasury operations.
    • Advise on the interpretation of applicable regulatory requirements to ensure that the requirements are operationalized into the policies, procedures and processes within relevant business and support units.

Job Requirements

  • Degree in any disciplines
  • Minimum of 2 years solid working experiences in Compliance or Risk Management of treasury or wholesale market conduct related areas.
  • Possess good understanding on Treasury or Investment Banking related products.
  • Good interpersonal and analytical skills.
  • Work well independently and with a team.
  • Able to multi-task and agile.

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.

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