Compliance Strategy

7 days ago

Thành phố Hồ Chí Minh, 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 Compliance function is a strategic partner and a trusted business enabler to the Board and senior management. It is our responsibility to ensure that the Group continuously fulfils its regulatory obligations in today’s tight and dynamic regulatory landscape. To do that, we work closely with internal stakeholders to identify and to assess regulatory risks. This collaboration also includes developing practical solutions that integrate regulations into operational requirements as well as actively shaping and promoting stronger compliance culture and literacy in the Bank.

**Responsibilities**:

- **Strategic leadership/Strategy**:Develops strategy and governance for regulator(s) relationship management and engagement in country through a structured engagement program with consistent adherence to regulatory expectation to ensure close and positive relationships, in cooperation with the Group Compliance and UOBV Senior Management. Promote the culture and practice of compliance with compliance standards (including conduct business within regulatory requirements, and to high ethical standard) within the Culture, Values and the Code of Conduct of UOB.
- **Regulatory Management and Governance**:Supporting Country Head of Compliance as default representative for UOBV at meetings and managing correspondence with local and international regulator(s) and similar industry bodies. Oversees summary, translation and communication of regulator reviews and requests to relevant internal bank stakeholders. Manages/streamlines key regulatory activities internally across UOBV, including regulatory exams, information requests and ongoing supervisory meetings. Maintains visibility of remediation efforts and manages progress of regulatory reviews and requests. Coordinates and drafts regulatory responses to local and other international regulators
- **Risk Management/Assessment**:Applies Group and Compliance Policies and Procedures to manage regulatory risks. Maintain oversight of regulatory gap and risk mitigation action plans. Maps risks, quantifies potential impact and escalate where necessary. Takes part in anticipating, assessing and communicating key regulatory risk trends in Country for management consideration and driving the development and implementation of appropriate mitigation control measures. Ensure the bank is properly prepared for, routine regulatory exams, audits and supervisory inspection, as well as managing response from the business. Monitor metrics and/or key risk indicators for Compliance and Conduct. Acts as the focal point to support operational risk matters in relation to Compliance, including escalation of issue, reporting to relevant oversight committees/meetings.
- **MI and Senior Management Engagement**:Produces senior management reporting, ensuring fullness and quality of information reported, interpreting data and drawing out key insights in order to aid Senior Management oversight responsibilities. Includes the development of appropriate dashboards for Senior Management. Coordinates external reporting requirements, ensuring they are completed in a timely manner and to a high standard
- **Project Management**:Acts as point of contact and/or PMO for country Compliance transformation projects as assigned from time to time
- Other tasks assigned from Head of Compliance from time to time.

**Job Requirements**:

- Bachelors degree holder or relevant professional qualification
- MBA or Master’s degree in Business, Accounting, Legal or related field preferred
- 5-10 years of experience in a regulatory engagement role or at a major financial services regulator or in a similar high regulator visibility role at a peer institution. Experience working for a major regulator preferred
- Exceptional verbal and written communication skills, with ability to synthesize complex concepts and consolidate into material for external regulators and senior executives
- Ability to build strong internal and external networks and experience engaging with senior management on strategic regulatory issues
- Strong knowledge of local and global regulatory standards
- Strong knowledge and experience of compliance framework design and implementation at a full-service bank

**Be a part o

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