Senior Director / Director, Regulatory Compliance, UOB Asset Management Senior Director / Director, Regulatory Compliance,  …

United Overseas Bank
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 27 Feb 20
Competitive
United Overseas Bank
in Singapore, Singapore, Singapore
Permanent, Full time
Last application, 27 Feb 20
Competitive
United Overseas Bank
Senior Director / Director, Regulatory Compliance, UOB Asset Management
Posting Date: 11-Feb-2020

Location: Raffles Place, Singapore, SG

Company: UOB Asset Management Ltd

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
UOB Asset Management is a leading Asian asset manager with award-winning investment expertise in fixed income and equities. Headquartered in Singapore, we offer global investment management expertise to individuals, institutions and corporations from a regional network spanning Thailand, Malaysia, Brunei, Japan and beyond. Our comprehensive product suite includes innovative solutions covering retail unit trusts, exchange-traded funds and customised portfolio management services.

Job Responsibilities
The successful candidate will join the newly set-up Regulatory Compliance Department and report directly to the Head of Compliance of UOBAM Ltd. You will provide regulatory compliance advice and services, as well as review and prepare all contractual agreements/ prospectuses, to the asset management business of the UOB Group. You will also assist in enhancing compliance's global oversight of the overseas investment management entities by providing functional guidance to the Compliance Officers of these entities.
Responsibilities:
  • Review and prepare 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 with 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 on-going 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.
  • Advise the various units/ departments of any implications of new regulations/ regulatory changes and provide guidance on the proper and prompt implementation of procedures to comply with the requirements;
  • Monitor, test and report compliance with relevant compliance risk management framework and internal policies/procedures to Board of Directors, Senior Management, Group Compliance, and, if required, to any regulatory authority.


Job Requirements
  • Degree holder or professional qualification in business, law or related disciplines
  • At least 10 years of experience in Asset Management, Banking, KYC and AML solutions or equivalent
  • Possess good understanding of the securities laws and regulations (e.g. Securities and Futures Act & Financial Advisers Act) and the asset management business
  • Experience in managing a team
  • Prior experience in legal, compliance, audit or regulatory work in financial services industry
  • Strong analytical and problem solving skills and ability to prioritize and organize work effectively and efficiently to meet with targets and deadlines
  • Excellent verbal and written communication skills
  • Good interpersonal skills and team player
  • Conversant in programming languages (R/Python) and knowledge in statistics would be an added advantage


Be a part of UOB Family
Apply now and make a difference.

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