In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
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 Retail function provides Personal and Business Banking customers with financial solutions tailored to their needs. We help them manage their money wisely and meet their financial goals through an extensive range of products and services. These include deposit, insurance, secured and unsecured loans, investment and wealth advisory services.
Personal Financial Services We design and provide products and services that empower our customers to enjoy greater banking convenience while they extract more value from their money. In particular, we are focused on promoting and developing healthy saving and investment practices across generations.
Job Responsibilities Sales Governance for Wealth Specialists
Establish, execute, review and monitor sales governance risk standards for wealth sales specialists supporting their revenue generating responsibilities.
To minimize breaches of internal guidelines, procedures and policies for Treasury Specialists, TED Dealers, FX Specialists (TPS) and Portfolio Counsellors (WMAS).
Product Governance for Wealth Management
Upholding governance and risk management standards relating to product management across investment, treasury, insurance and deposit
Understand the relevant policies and regulations in relation to the wealth management and deposit business; partner with group compliance(GC), business compliance(BC), operational risk management (ORM) and relevant stakeholders in implementing policies, framework and regulations.
To co- ordinate, track and monitor all audit related matters for Deposit and Wealth Management ( DWM ) towards achieving satisfactory audit rating.
To work closely with Internal Auditors, External Auditors and Group Compliance on all DWM audit related matters, and GRC updates to close the audit observations.
Wealth process and projects
Drive process improvement by partnering with product owners, technology, risk and compliance functions to empower our sales advisors in the delivery of our wealth management solutions and advises.
More than 10 years of relevant experience in a financial institution business management/compliance/risk/wealth management function
Track record in implementing and executing regulatory changes
Track record in rolling out successful projects streamlining processes /achieving efficiency while providing an improved client experience
Good understanding of the wealth management business pertaining to risk management, compliance and regulatory requirements
Strong stakeholder management skill across different functions and level of seniority
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.