VP - FVP, Regulatory Compliance (Non-Retail)
UOBKuala Lumpur, Kuala Lumpur, Malaysia15 hours ago
Job descriptionAssessing the risk of any new communication channels to be used within dealing room. Coordinating and conducting surveillance on approved electronic communication tools of the Global Market dealing room staffs to detect potential irregularities including in the determination and submission of benchmark rates. Assisting Product Control team from Market Risk Management in their market conduct investigations. Reporting of market / professional misconduct detected via communication surveillance to Country Treasury Head and / or Country Human Resource. Escalating significant market misconduct issues to Senior Management, Board and Regulators, where applicable, to ensure UOBM is not associated with any market misconduct activities. Staff Personal Trading Providing guidance and training to Covered Person in regards to Insider Trading and Pre‑Trade Clearance process. Leading the periodic compliance review and testing on Covered Entities / Covered Persons to ensure compliance with the Group Staff Trading Policy. Monitoring the follow‑up actions on staff trading violations. Reporting of breaches of Group Staff Trading Policy to Country Human Resource and / or Business Head / its equivalent for their assessment and further action. Escalating significant breaches of Group Staff Trading Policy to Senior Management, Board and Regulators in order to emphasize UOBM’s zero tolerance towards Insider Trading. Advisory Advise on the interpretation of other regulatory requirements to ensure that the requirements are operationalized into the policies, procedures and processes within relevant Business / Support Functions. Review and advise on the adequacy of controls and perform compliance assessment against regulatory requirements. This includes reviewing and clearing materials from non‑retail segment to ensure compliance to the relevant requirements. Regulatory Liaison Assist the Head of Regulatory Compliance in preparing reports to highlight to Senior Management and Board the significance and impact of the new / revised regulations to the bank. Assist the Head of Regulatory Compliance in managing the communications and dealings between the bank and the Regulators. This includes tracking of queries / request for information from Regulators and responding satisfactorily to the Regulators within any stipulated timeframe as well as reviewing draft correspondence / letters / applications which the Business / Support Functions prepared to respond / submit to the Regulators. Others Reviewing incidents of regulatory breaches, assessing the adequacy of mitigation actions and reporting to Group. Prepare materials and conduct trainings to enhance compliance culture. Perform independent validation assessment for BNM’s reporting. Participate and contribute in bank‑wide project as may be assigned by the Head of Regulatory Compliance. Degree in any discipline. Good interpersonal and analytical skills. Work well independently and with a team. Able to multi‑task and agile. Experienced and possesses good understanding of Foreign Exchange Policy and Wholesale Market Conduct requirements. Working experience in banking / Compliance division would be an advantage.
VP - FVP, Regulatory Compliance (Non-Retail)
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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.
Job Description
- Communication Surveillance
Developing and reviewing Electronic Communication Surveillance Policy.
Overseeing the management of Pre‑Trade Clearance requirement, including the operations of Pre‑Trade Clearance System.
Advise on the requirements of BNM’s Foreign Exchange Policy and conduct training on this subject.
Disseminating new regulatory issuances from BNM and other regulators that are relevant to non‑retail segment, to internal stakeholders, and following up on action taken to meet the new regulatory expectations as well as ensuring its translation into bank’s policy or procedures, where applicable.
Managing the performance of regulatory risk assessment of the applicable laws, rules, regulations and guidelines, to assess its impact on the bank’s Business / Support Functions.
Job Requirements
Additional Requirements
Develop, Engage, Execute, Strategise
Be a Part of the UOB Family
UOB is an equal opportunity employer. UOB does not discriminate on the basis of a candidate’s age, race, gender, colour, 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.
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Regulatory Compliance • Kuala Lumpur, Kuala Lumpur, Malaysia
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