VP, Overseas Compliance Management, Anti-Financial Crimes Assurance, Group Compliance - UOB

Job Responsibilities

Part of the Overseas Compliance Mgmt (OCM) AFC Assurance Team, responsible for planning and executing assurance reviews AFC controls within UOB’s international operations. Reporting to the OCM Head of AFC.

• Assists the OCM Head of AFC Assurance in developing a robust AFC assurance plan for UOB’s international operations
• Liaises with internal stakeholders and conducts research to identify potential areas to review as part of the assurance plan, synthesizing findings for the Head of AFC Assurance
• Develops strong working relationships with key stakeholders within local compliance teams in UOB’s international operations, coordinating regular touchpoints between these teams and the OCM AFC assurance team

• Plans specific assurance engagements including review scope, key dependencies, and timelines. Ensures engagement plans are communicated and aligned with key stakeholders
• Researches and collates relevant regulatory and policy documentation ahead of specific engagements, liaising with both local compliance teams and relevant Line 1 stakeholders where necessary
• Develops detailed testing methodologies for each review in line with the overall AFC assurance methodologies, aligning plans with the Head of AFC Assurance
• As part of engagements conducts detailed reviews of controls design, implementation and outcomes to assess effectiveness and efficiency. Includes document review and interviews where necessary
• Drafts review findings including providing ratings where relevant, reporting key findings and details to the Head of AFC Assurance
• Works and agrees with key stakeholders in both Line 1 and Line 2 (local compliance) teams on the corrective action plans, ensures that progress of action plans is on track and performs the issues validation
• Supports in the preparation of reporting and MI for Senior Management and relevant committees, summarizing key activities of the OCM AFC Assurance Team

• Bachelors degree holder (with major in Accounting, Business Administration, Economics, Finance or Law, or equivalent qualification preferred)
• 8-10 years of experience in financial services assurance or compliance testing
• Excellent knowledge of anti-financial crime processes and controls within a financial services context
• Data analytics knowledge preferred
• Good understanding of Line 1 business divisions and activities within a full-service bank
• Understanding of relevant financial crime and broader financial services regulatory landscape
• Knowledge of local financial crime regulatory frameworks within SEA valued
• 10-15% of traveling required.

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