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The successful candidate will be part of the Business Compliance specialist team residing in the Retail Segment in Personal Financial Services, UOB Singapore. You are expected to be familiar with the rules and regulations relevant to consumer banking, in particular on regulatory requirements relating to Financial Advisory Industry Review - Balanced Scorecard. You will be involved in the preparation and execution of the review and testing on the various activities stipulated under the Balanced Scorecard requirements. Additionally, you will be involved in the preparation of periodic compliance returns and internal risk reporting.
Specific Roles and Responsibilities include:
Assisting to develop sales assurance controls and coordinating implementation by the respective business/support functions.
Performing periodic review & testing on key activities undertaken by the various units to ensure compliance/adherence with internal controls and regulatory requirements and ensuring that the review & testing process is robust. Reporting findings, recommending corrective actions and preparing trend analysis for management review.
Recognized degree in Business, Finance, Accountancy
At least 1 to 3 years of related working experience in a Retail Bank environment, preferably in the areas of business compliance and regulatory audit
Prior experience in operational risk management within business units or internal / external audit is welcome
Good understanding of the regulations applicable to Retail Banking would be an advantage (e.g. Financial Adviser Act, Securities and Futures Act)
Candidates who have a strong regulatory background, compliance audit background or are currently in a business support role in the personal Wealth Management areas (e.g. insurance/ investment sales) would also be considered
Good presentation and communication skills
Creative, resourceful, meticulous, analytical and able to work independently with good excel and report writing skills
Self-driven and a team player with strong interpersonal and communication skills