Regulatory Assurance Officer

2 weeks ago

Kuala Lumpur, Malaysia UOB Labuan 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 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.

**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**:

- Provide advisory services to the Branch on regulatory requirements in respect of the Branch’s corporate governance, business activities and licensing.
- Develop and conduct annual update of the Regulatory Risk Assessment Registers (“RRAR”) which document the regulatory obligations (Singapore and Domicile Country) applicable to the Branch, the corresponding internal controls & procedures, and the compliance risk ratings.
- Conduct compliance reviews on the Branch's compliance with regulatory requirements and related internal policies and guidelines on a risk-based approach.
- Act as the liaison officer for the Branch with Domicile Country regulator(s) and other relevant parties on compliance-related matters.
- Report non-compliance and regulatory issues of the Branch to Group Compliance (“GC”) and Domicile Country regulator, as applicable.
- Facilitate and/or provide training to the Branch staff on regulatory issues/requirements.
- The AML/CFT responsibilities shall include but not be limited to:

- Overseeing all AML/CFT/Sanctions compliance matters within the entity.
- Work with Group Compliance AML Team on the establishment and implementation of AML/CFT/Sanctions policies, procedures and controls in the entity.
- Oversee or lead further investigation into reports of suspected money laundering activities and to provide recommendations to the entity’s Senior Management on the validity, the timeliness and the need for reporting to relevant authorities, where appropriate.
- Pro-actively engage regulator(s) and enforcement agencies to ensure that the AML/CFT procedural standards and processes are aligned to regulatory expectations especially in the filing of STR.
- Promoting compliance and carrying out ongoing monitoring of business relations and sample reviewing of accounts for compliance with the MAS Notice 626, Guidelines to MAS Notice 626 and all applicable local AML/CFT and Sanctions regulations.
- Raise awareness on money laundering and terrorism financing issues

**Job Requirements**:

- Minimum 5-6 years working experience in banking industry (advantage in Banking Compliance)
- Good interpersonal skills, able to work independently and as a team
- Willing to work extra hour when necessary to meet tight deadline

**Be a part of UOB Family**:
**Competencies**:

- 1. Strategise- 2. Engage- 3. Execute- 4. Develop- 5. Skills- 6. Experience

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