UOB
Finance / FinServ
AVP,BRCMConduct
Neural analysis suggests this role is
optimal for Mid+ candidates.
“AVP, BRCM Conduct at UOB. Skills: wealth products, sales process controls, operational risk, Fair Dealing Score evaluation, investment and insurance sales process, wealth management, financial advisory. Providing advisory to support and advise Investment, Insurance Product, and Sales Segments on wealth products and sales process controls.. Work with Product manager and Sales to determine controls gaps and advise on effective control design.”
What You'll Achieve.
mitigate operational risk for wealth products; improve sales awareness
Industry & Context.
controls gaps; effective control design; sustainable corrective action plans
checking and collection of criminal records
What They're Looking For.
Must Have
University-Master - Banking & Finance, University-Master - Business Administration/Management, University-Master - Compliance, University-Master - Economics & Finance
What You'll Do.
Providing advisory to support and advise Investment
and Sales Segments on wealth products and sales process controls.
Work with Product manager and Sales to determine controls gaps and advise on effective control design.
Provide advisory on controls design process to related parties in order to mitigate operational risk for wealth products.
Providing Fair Dealing Score evaluation across business units and ensuring that significant customer Fair Dealing related risks
and issues are escalated and notified as part of the Issue Management Process.
Responsible to run mystery shopping program for Investment and Insurance Business.
Coordinate with stakeholder and vendor enhance checklist to properly address inappropriate investment and insurance sales process
analysis of mystery shopping results and provide guidance on sustainable corrective action plans.
Reviewing and consultant on corrective action plan regarding incident / issue related to investment and insurance sales process
investment/insurance operation process including new product/system launching.
Review/enhance framework related to wealth management e. g. review and testing
wealth sales surveillance and disciplinary guidelines.
Training and Communication on financial advisory related to robust control execution and improve sales awareness.
Performing other duties/ad hoc projects related to Wealth Management as assigned.
How You'll Work.
Team & Collaboration
Work with Product manager and Sales; Coordinate with stakeholder and vendor
Communication Scope
Training and Communication on financial advisory related to robust control execution and improve sales awareness.
Full Job Description
**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** **Key Responsibilities:** * Providing advisory to support and advise Investment, Insurance Product, and Sales Segments on wealth products and sales process controls. * Work with Product manager and Sales to determine controls gaps and advise on effective control design. Provide advisory on controls design process to related parties in order to mitigate operational risk for wealth products. * Providing Fair Dealing Score evaluation across business units and ensuring that significant customer Fair Dealing related risks, incidents, and issues are escalated and notified as part of the Issue Management Process. * Responsible to run mystery shopping program for Investment and Insurance Business. Coordinate with stakeholder and vendor enhance checklist to properly address inappropriate investment and insurance sales process, analysis of mystery shopping results and provide guidance on sustainable corrective action plans. * Reviewing and consultant on corrective action plan regarding incident / issue related to investment and insurance sales process, investment/insurance operation process including new product/system launching. * Review/enhance framework related to wealth management e.g. review and testing, wealth sales surveillance and disciplinary g
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