Manager, Financial Advisers Act (FAA) Investigator

Company: 1011 United Overseas Bank Ltd
About UOB
United Overseas Bank Limited (UOB) is a leading bank in ASEAN with a global network in Southeast Asia, Asia Pacific, Europe and North America. Operating through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia, Thailand and Vietnam, we have a global network of about 430 branches and offices in 19 markets. At the heart of UOB is our culture, shaped by the UOB Way and anchored on our four values – Honourable, Enterprising, United and Committed. For more than 90 years, these values have guided how we do right by our customers, collaborate with one another and create long-term value for the communities we operate in. As One Bank, we are committed to helping our colleagues build sustainable careers grounded in purpose, supported by strong values, and enriched with meaningful opportunities to grow.
Job Description
Key Job Duties and Responsibilities
Investigate complaints in relation to the Financial Advisers Act and its subsidiary legislation through the conduct of interviews with the relevant stakeholders, review of sales document against the regulatory requirements as well as Bank’s policies and guidelines
Assess the investigation findings in relation to the investment sales process including the following:
Determine if there is any misconduct committed by the sales representatives; and
Assess the Business Division’s compliance with regulatory requirements, especially with the Financial Advisers Act
Report investigation findings, ensuring objective analysis and recommendation
Follow up on remedial action to be taken
Assist in the management of the compliance requirements for the Business / Support Sectors under the purview of the division
Other Job Duties and Responsibilities
Analysis and reporting of investigation data and trends by developing and executing data analysis to determine significant trends or key risk areas
Provide management reporting of breaches by Business / Support Sectors
Assist and facilitate the training for the staff of Business / Support Sectors where required
Handle or participate in ad-hoc projects that require compliance support; such as liaising with regulators, and internal and external auditors, as and when necessary
Assist Section Head in matters related to the Regulators and Auditors (Internal and External)
Additional Requirements
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, color, 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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