First VP, Business Risk Compliance, and Financial Advisory, Group Retail

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

BRCM Sales Surveillance team is responsible to develop and execute ongoing monitoring and surveillance program to identify potential cases of sales misconduct or emerging risk trends and provide sales practices insights across the Personal Financial Services (PFS) business. As part of the BRCM Conduct, its primary objective is to provide risk management and control oversight on the sales activities, ensure alignment with regulatory requirements, and deliver Fair Dealing outcomes to our customers.

Job Responsibilities

1. Strategic Leadership:
• 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 advisory body in shaping policies, tools, and strategies that support business in delivering exceptional, compliant client experiences.
2. Regulatory Compliance Management:
• Oversee the business’ adherence to financial advisory regulations (e.g., SEC, FINRA, or regional equivalents) and internal governance standards.
• Monitor and respond to changes in regulatory landscapes, ensuring timely updates to the advisory framework and processes.
• Manage relationships with Compliance and industry groups, coordinating audits, examinations, and inquiries for the business.
3. Risk Management:
• Identify, assess, and mitigate risks related to financial advisory activities and client interactions.
• Ensure proper disclosure protocols are in place, supporting transparency and client trust.
• Establish controls to address conflicts of interest and ensure the organization’s fiduciary standards are upheld.
4. Advisor Training and Development:
• Lead initiatives to train financial advisors on compliance policies, ethical standards, and regulatory changes.
• Provide advisors with tools and resources to enhance their advisory practices while ensuring compliance.
• Foster a culture of accountability, professionalism, and continuous improvement among financial advisors.
5. Monitoring and Reporting:
• Oversee compliance monitoring programs to track advisor activities, identify trends, and address potential issues proactively.
• Generate detailed compliance and risk reports for senior leadership, highlighting key metrics, challenges, and recommendations.
• Provide thought leadership on compliance matters, advising the executive team on strategic implications.
6. Stakeholder Collaboration:
• Work closely with legal, compliance, operations, product, and sales and distribution teams to ensure a unified approach to compliance and advisory operations.

Job Requirements

• Good understanding of the regulations applicable to Retail Banking would be an advantage (e.g. Banking Act, Financial Adviser Act, Securities and Futures Act)
• Good presentation and data analytics 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
• Leadership experience will be preferred for this role. The candidate should have a proven track record of leading teams and managing projects

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.

Apply now and make a difference.

Competencies

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

BRCM Sales Surveillance team is responsible to develop and execute ongoing monitoring and surveillance program to identify potential cases of sales misconduct or emerging risk trends and provide sales practices insights across the Personal Financial Services (PFS) business. As part of the BRCM Conduct, its primary objective is to provide risk management and control oversight on the sales activities, ensure alignment with regulatory requirements, and deliver Fair Dealing outcomes to our customers.

Job Responsibilities

1. Strategic Leadership:
• 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 advisory body in shaping policies, tools, and strategies that support business in delivering exceptional, compliant client experiences.
2. Regulatory Compliance Management:
• Oversee the business’ adherence to financial advisory regulations (e.g., SEC, FINRA, or regional equivalents) and internal governance standards.
• Monitor and respond to changes in regulatory landscapes, ensuring timely updates to the advisory framework and processes.
• Manage relationships with Compliance and industry groups, coordinating audits, examinations, and inquiries for the business.
3. Risk Management:
• Identify, assess, and mitigate risks related to financial advisory activities and client interactions.
• Ensure proper disclosure protocols are in place, supporting transparency and client trust.
• Establish controls to address conflicts of interest and ensure the organization’s fiduciary standards are upheld.
4. Advisor Training and Development:
• Lead initiatives to train financial advisors on compliance policies, ethical standards, and regulatory changes.
• Provide advisors with tools and resources to enhance their advisory practices while ensuring compliance.
• Foster a culture of accountability, professionalism, and continuous improvement among financial advisors.
5. Monitoring and Reporting:
• Oversee compliance monitoring programs to track advisor activities, identify trends, and address potential issues proactively.
• Generate detailed compliance and risk reports for senior leadership, highlighting key metrics, challenges, and recommendations.
• Provide thought leadership on compliance matters, advising the executive team on strategic implications.
6. Stakeholder Collaboration:
• Work closely with legal, compliance, operations, product, and sales and distribution teams to ensure a unified approach to compliance and advisory operations.

Job Requirements

• Good understanding of the regulations applicable to Retail Banking would be an advantage (e.g. Banking Act, Financial Adviser Act, Securities and Futures Act)
• Good presentation and data analytics 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
• Leadership experience will be preferred for this role. The candidate should have a proven track record of leading teams and managing projects

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.

Apply now and make a difference.

Competencies