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First / Assistant Vice President, Group Compliance - Corporate & Regulatory Affairs
United Overseas Bank
January 12, 2018
Group Compliance is a strategic partner and trusted business enabler to the Board and Senior Management to ensure that the Bank continuously fulfils its regulatory obligations in today's tight and dynamic regulatory landscape.
The incumbent will be responsible in formulating and implementing appropriate compliance policies and procedures to ensure that the Bank carries out its business activities in conformance with compliance laws, rule and standards. He/she will provide regulatory compliance advice and services to Corporate Functions and Service Sectors (Channels & Digitalisation and Technology & Operations) in the Bank and ensuring that best practices and ethical standards adopted by the Bank are consistent within the Group.
Assist the Division Head in continuously strengthening and developing the compliance culture within the Bank.
Formulate and implement appropriate compliance policies and procedures to ensure that the Bank carries out its business activities in conformance with compliance laws, rule and standards.
Provide regulatory compliance advice and services to Corporate Functions and Service Sectors (channels & digitalisation and technology & operations) in the Bank.
Ensure that best practices and ethical standards adopted by the Bank are consistent within the Group.
To provide responsive, sound, coherent & consistent advice, interpretation and recommendation on compliance laws, rules and standards, internal policies and procedures, products and business initiatives.
To clarify and resolve uncertainties in compliance laws, rules and standards affecting business transactions and practices.
To identify, evaluate and assess regulatory compliance risks, applicable compliance laws, rules and standards and formulate compliance plans on the foregoing.
To develop, review and implement policies, procedures, codes, guidelines and manuals within the Group.
To monitor, review and test compliance with applicable compliance laws, rules, standard and internal policies and procedures through compliance reviews.
To develop and review compliance training materials and assess training needs and conduct training for staff.
To engage with internal stakeholders and external stakeholders such as industry bodies on regulatory compliance matters.
To engage with auditors and regulators during audit and inspection.
To assist in projects/assignments and administration.
Good degree in Accounting, Law, Business, Banking & Finance or equivalent
At least 5 years in legal, compliance, audit, risk management or regulatory work in the financial services industry.
Good knowledge and understanding of compliance laws, rules and standards applicable to banking business and the ability to apply.
Strong analytical, writing and communication skills, meticulous, and ability to work independently.
Good collaboration & stakeholder management skills.
Team player and demonstrated ability to manage multiple demands and priorities.
Good judgment, problem solving skills and be results/task oriented to ensure sound implementation of controls, compliance processes and procedures.
High personal standard of integrity, ethics and commitment to fulfilling the objectives of the position.