Senior VP, BRCM Conduct & NFR

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

Financial Advisory Act (FAA) and other regulations for GR Franchise

• Design and lead the strategic vision for the financial advisory framework, ensuring it meets regulatory requirements and business objectives.

• Drive compliance initiatives that align with fiduciary responsibilities, industry trends, and best practices.

• Serve as a key decision-maker in shaping policies, tools, and strategies that support advisors in delivering exceptional client experiences and compliant with local regulations.

• Providing advice, interpretation and recommendation to the business and partnering with the Bank’s Group Compliance function

• Support the ongoing facilitation of Fair Dealing (FD) framework and best practices to drive the implementation of MAS FD Five Outcomes

• Streamline processes to drive better business outcomes while ensuring adequate controls in place

• Performing assurance through ongoing review of state of regulatory compliance to policies, guidelines and internal controls

Operational Risk and Conduct

• Providing advice, interpretation and recommendation to the business on Operational Risk and Risk Culture/ Conduct issues

• Provide oversight on risk assessment, controls and reporting (eg. KRCSA, KORI, MRA, RRA) for all risk types, working with subject matter risk teams embedded across Bus

Support the Head of BRCM Conduct and NFRM for all Risk & Controls governance

• Manage audit and compliance reviews and drive remediation for identified gaps

• Elevate risk competencies through communications and training

Risk Area coverage

• FAA: Policy operationalization, advisory support and perform independent review and testing. Spearhead use of data analytics.

• Other Regulatory Compliance: Oversight on all regulatory matters, liasing with respective subject matter risk assurance teams across BUs

• Operational Risk: Oversight on risk assessment and reporting from BRCM champions embedded in BU’s. Ensure incident management from investigation and assemble root causes to ensure resolution for systemic issues.

• Conduct risk: Drive culture and conduct initiatives and monitor adherence to conduct risk appetite

Stakeholder engagement

• Work closely with Compliance, Legal, Risk, Operations, and Product teams on policy, advisory and framework matters

• Represent the organization in industry forums, advocacy groups, and with external stakeholders to influence regulatory policies

• Continuously push boundaries by thinking out-of-the-box

Job Requirements
• Minimum 12 years+ of experience in financial services, with background in compliance, advisory frameworks, and leadership roles. Experience with regulatory bodies or audit functions is a plus.
• Bachelor’s degree in finance, business, law, or a related field. 
• Extensive knowledge of financial regulations and compliance frameworks.
• Strategic thinking and ability to lead cross-functional initiatives.
• Strong leadership and interpersonal skills to influence and manage diverse teams.
• Proficient in data analysis and reporting tools to support monitoring and decision-making.
• Exceptional attention to detail with a proactive approach to problem-solving.
• Strong communication and negotiation skills for interacting with regulators and senior stakeholders.
• High ethical standards and a commitment to upholding fiduciary principles.

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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