Head, Wholesale Banking Brcm

6 days ago

Ho Chi Minh City, Vietnam UOB Vietnam Full time

**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, Thailand and Vietnam, 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.

**About the Department**

The Wholesale Bank function operates a dynamic business model that provides financial services and solutions to help our clients achieve their strategic business objectives. Our mission is to become the premier-provider of banking services and solutions for Asia-based commercial banking companies (small medium enterprises), large corporations, financial institutions as well as multinational corporations. Our coverage teams work in full alignment with specialised teams across Transaction Banking, Investment Banking, Global Markets and Group Retail to deliver seamless solutions to our clients.

**Responsibilities**:
**_Advisory and Controls and Management_**
- Provide advisory support/guidance to the WB business units on relevant rules and regulations and ensure that relevant business and support functions develop relevant procedures and processes.
- Review and provide advisory for investment product, foreign exchange transaction and Legal Lending Limit (“LLL”) to the WB business units.
- Facilitate and ensure that the relevant sales assurance programs are developed and implemented by respective business and support functions. Act as key point person/consultant to the sales platform on regulatory matters relating to sales processes and procedures.
- Ensure compliance of the significant and relevant compliance risk to applicable regulations for WB.
- Define best practices/standards/methods for the management of major compliance/regulatory risks within WB, and working together with WB business units to implement operational policies, processes and procedures to ensure adherence to relevant regulations.
- Proactively identify areas for improvements and assist to implement/enhance procedures, processes, internal controls to strengthen the first line of defense.

**_AML/CFT/Sanctions_**
- Work with WB business units to address AML/CFT/Sanction issues and streamline the review process to drive business efficiency
- Participate in AML projects and contribute to these projects
- Provide necessary support to the WB business units and perform quality review of the assessment results including challenging the results where necessary pertaining to the Enterprise Wide Risk Assessment.
- Lead the monitoring of adherence to the Group AML/CFT/Sanctions policy, guidelines and directives:

- Monitor ML/TF Sanctions audit issues
- Work with stakeholders to address potential issues / gaps identified from the ongoing monitoring process
- Identify and assess money laundering, terrorist financing and sanctions risk exposure for new business programs; and advise Business on appropriate mitigating measures where applicable.
- Escalate product or process issues that pose ML/TF/Sanctions risk to Bank’s Compliance team in accordance with the escalation protocols.
- Work with Bank’s Compliance team on AML/CFT/Sanction matters and initiatives (ie. policies, guidelines, framework, training, annual compliance plans, etc).
- Review and provide approval for customer acceptance of certain criteria, customers affected by non-material adverse news, maintain / revoke gray list, annual existing product program in accordance with applicable SOP.
- Provide advisory service and approval of customer acceptance (with certain criteria), grey list (maintenance) and investment product related.

**_General_**
- Track enquiries into compliance incidents and complaints, and assist Bank’s Compliance team to carry out further investigations as appropriate
- Reviewing responses to regulators and communicating with regulators
- To identify and work with analytics/data on system initiatives to increase operational efficiencies
- Manage and co-ordinate, internal and external audits including regulatory inspections and to follow up on any issues raised and satisfactorily closed.
- Manage the team to provide the necessary training material for the sales (working with business’ training team or Learning & Development Centre, where applicable) on new procedures & processes as well as any compliance-related matters.
- Participate and undertake ad hoc projects related to business controls and operational risk

**Job Requirements**
- Degree or professional qualification in business or audit/banking/financial services

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