About the role
Senior executive role leading regulatory compliance for UOB Asset Management Group. Responsible for overseeing global compliance framework, regulatory risk assessments, and ensuring adherence to securities laws, AML/ABC regulations, and group policies across all investment management entities.
BankingOnsite
Key Responsibilities
- Review and prepares Regulation Risk Assessments, Annual Compliance Plan and Manual
- Manage regulatory compliance with applicable legislations, rules and regulations that govern asset management, as well as Group policies, standards, and international best practices for compliance operations
- Review all product-related materials, advertising, marketing and sales promotion materials to ensure the business complies with Securities & Futures Acts ("SFA") regulatory requirements and Group policies ("fair dealing")
- Ensure compliance and provide advisory on all relevant Anti-Money Laundering and Anti-Bribery & Corruption regulations and laws and group policies
- Provide adequate oversight to ensure the Company has effective control environment to minimize compliance risk
- Provide advice, guidance and training to staff on the appropriate implementation of compliance framework which include policies and procedures such as those contained in the Compliance Manual, internal codes of conduct and practice guidelines
Requirements
- Deep knowledge of financial regulations and compliance
- Experience in Asset Management operations
- Ability to advise on regulatory implications of business activities