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Senior / First Vice President, Group Compliance Assurance in Singapore at UOB Group

Date Posted: 11/4/2018

Job Snapshot

Job Description

Functional area: Group Compliance
Employment type: Full-time
Job Type: Permanent

Lead and participate in Compliance and Quality Assurance Reviews to identify gaps and assess Business and Support units’ compliance with in-scope Group Policies & Procedures. As a Team Lead, you will drive and be overall responsible for delivering up the review assignments from planning to reporting stage.

  • Plan, organise and execute Compliance and Quality Assurance Reviews, as assigned by the Team Manager, according to the established approved framework, methodology and standards to deliver consistent and quality issue/ reports, to enhance the bank’s compliance control standards.
  • Complete assigned Compliance and Quality Assurance Reviews on time which include discussion of identified issues with Reviewing Units; draft the Management Corrective Action Plans (MCAP) based on review observations; review MCAPs submitted by Team Member(s); review work papers submitted by Team Member(s) and ensure all work paper documentation of the assigned reviews are in good order.
  • Write concisely and submit draft report on the results of the Compliance Review for Team Manager’s review.
  • Follow up and validate in-scope outstanding issues identified from the Compliance Reviews and/ or by Internal/ External Auditors and/ or Regulators. Prepare adequate documentation to support any issue closure for audit trail.
  • Participate in Quality Assurance Reviews, including conducting onsite and/or offsite, with the objective to enhance the compliance review standards of the overseas banking entities and conduct trainings where appropriate.
  • Participate in special reviews or overseas assignments and any ad-hoc projects as and when assigned by Team Manager/ Group Compliance Management.
  • Assist in administering the annual rollout of AML/CFT Control Self-Assessment for the Group, including collation of the results to Group Compliance AML Group Head and senior management.
  • Participate in GC-MDO-Assurance’s strategic projects and initiatives as and when assigned by Team Manager/ Group Compliance Management, to improve efficiency, effectiveness and productivity.
  • Has a recognised Bachelor degree or its equivalent
  • Has good knowledge on AML/CFT/sanctions with a professional AML-related certification being an advantage
  • Has minimum 4 to 8 years of relevant work experience preferably in audit
  • Has good communication and interpersonal skills
  • Possess good analytical and problem-solving skills
  • Able to work on multiple assignments and manage deliverables within timelines