Sales Governance & Quality Control

Key Requirement
Strategy
• Develop, design and implement control measures and monitoring plans for compliance to policies and regulations to SnD.
• Support sales/ relationship manager on working with Compliance/branch to clear client transaction.
• Key person in charge on SnD compliance report: such as MMR (AML Monthly Report to Group Compliance), "ONGOING REVIEW" & "PO BOX OR C/O ADDRESS" REPORT; Regulatory Risk Assessment (RRA) Exercise; AML CSA Exercise; KRCSA Program; Business Impact Assessment (BIA) & Business Continuous Plan (BCP).
• Support regional / entity level risk management reporting, stress testing and other associated responsibilities.
• Ensure Regulatory and Group gap analysis complete within timelines. Coordinate discussion with process owners to implement action plan.
• Follow-up with relevant stakeholders on the gap analysis action plan and dispensation approval.
• Prepare dashboard reports on daily / weekly / monthly to be shared with the relevant stakeholders.
• Coordinate for internal and external audit and ensure timely follow-up of audit action points.
• Coordinate the requirement from regulatory and response to the request timely and accurately.
Requirement
• 3+ years' experience in policy framework, or governance or risk management or quality assurance related role or wealth sales management roles with strong background/experiences on bank policies.
• Risk Management and Control: Demonstrated track record in successful management and ability to manage risk in geographically dispersed and highly varied product base. Expertise in process design and control.
• Regulatory Framework and Requirements: Awareness and understanding of the regulatory framework in which the firm operates, and the regulatory requirements and expectations relevant to the role.
• Non-technical Skills: Significant relationship management experience - with external stakeholders at the most senior levels, including regulators and rating agencies.
• Operation knowledge: good background of compliance, policies, collection and credit initiation functions.
• Technical Skills: Good problem-solving skills with ability to make independent decisions and uphold their decisions despite pressure from other stakeholders.
• Personality: Ability to withstand stress and work on multiple tasks and priorities simultaneously
• Microsoft skill (Excel, Power point, etc).
Essential (Technical Skills)
NIL.
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.