AVP/VP1, Regulatory Assurance Officer - Global Markets

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

• Act as the focal point of contact between Global Markets (GM) and Internal/External Auditors, Compliance, and Risk Management departments.

• Provide first-level compliance advisory on regulatory matters, including Foreign Exchange Policy (FEN/AOO), PPKM licensing, Continuing Professional Education (CPE), and ERP tracking.

• Deliver training to GM staff regarding regulatory requirements, risk awareness and operational procedures. 

• Dissemination of new or revised internal policies and external regulations to all relevant GM stakeholders.

• Manage the Incident Reporting Framework for compliance breaches, ensuring timely reporting to Country Compliance, Risk Management, and GM Management, where applicable.

• Conduct end-to-end management of risk incidents, including fact-finding, investigations, impact assessment, and formal reporting.

• Conduct control testing through the Annual Key Risk & Control Self-Assessment (KRCSA) and AML KRCSA frameworks.

• Coordinate and facilitate all audit requests and queries for GM, ensuring professional and timely delivery of required documentation and responses.

• Execute ad-hoc tasks/ projects as assigned. 

Job Requirements:

• Bachelor’s Degree or Diploma from a recognized university / college
• At least 4-6 relevant years of working experience in regulatory assurance field
• Able to multi-task effectively and work under timeline pressure
• Possess good interpersonal, communication, influencing and analytical skills
• Ability to build strong partnership with internal and external business partners
• Independent and self-motivated

Additional Requirements

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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