About the role
The Assistant Vice President, Regulatory Compliance will provide regulatory compliance advice and services to UOB Asset Management. The role involves reviewing risk assessments, compliance plans, product materials, AML/ABC regulations, and advising on regulatory changes. The position reports to the Head of Regulatory Compliance and supports global oversight of overseas investment entities.
BankingOnsite
Key Responsibilities
- Review and prepare Regulation Risk Assessments, Annual Compliance Plan and Manual; manage regulatory compliance with applicable legislation, rules, regulations, group policies, standards, and best practices.
- Review product-related, advertising, marketing and sales promotion materials to ensure compliance with Securities & Futures Acts and Group policies.
- Ensure compliance with Anti-Money Laundering and Anti-Bribery & Corruption regulations and group policies.
- Provide oversight, advice, guidance and training to staff on compliance framework, policies, procedures and internal codes of conduct.
- Advise units on implications of new regulations, monitor, test and report compliance to Board, Senior Management, Group Compliance and regulators.
- Conduct compliance reviews, develop and update Regulatory Risk Assessment Registers, coordinate responses to regulator requests, and report regulatory issues and breaches.
Requirements
- Bachelor's degree in a relevant field like law or banking.
- Years of experience in Banking Compliance or Legal roles.
- Proven ability to apply strong analytical and problem-solving skills.
- Excellent written and verbal communication abilities.