Sales Governance & Quality ControlNgân hàng TNHH một thành viên United Overseas Bank (Việt Nam)

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.
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