Vice President, BRCM, Financial Advisory and Conduct

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

As the Vice President for Financial Advisory Framework & Compliance, you will lead the development, implementation, and oversight of the compliance framework governing financial advisors within the organization. This role combines strategic leadership with a deep understanding of regulatory requirements to ensure the organization delivers compliant and ethical financial advisory services. You will collaborate with senior stakeholders, regulatory bodies, and cross-functional teams to mitigate risks, enhance advisor performance, and align operations with industry standards.

Key Responsibilities:
1. Strategic Leadership:
• Design and lead the strategic vision for the financial advisory framework, ensuring it meets regulatory requirements and business objectives.
• Drive compliance initiatives that align with fiduciary responsibilities, industry trends, and best practices.
• Serve as a key decision-maker in shaping policies, tools, and strategies that support advisors in delivering exceptional, compliant client experiences.
2. Regulatory Compliance Management:
• Oversee the organization’s adherence to financial advisory regulations (e.g., SEC, FINRA, or regional equivalents) and internal governance standards.
• Monitor and respond to changes in regulatory landscapes, ensuring timely updates to the advisory framework and processes.
• Manage relationships with regulatory bodies, coordinating audits, examinations, and inquiries.
3. Risk Management:
• Identify, assess, and mitigate risks related to financial advisory activities and client interactions.
• Ensure proper disclosure protocols are in place, supporting transparency and client trust.
• Establish controls to address conflicts of interest and ensure the organization’s fiduciary standards are upheld.
4. Advisor Training and Development:
• Lead initiatives to train financial advisors on compliance policies, ethical standards, and regulatory changes.
• Provide advisors with tools and resources to enhance their advisory practices while ensuring compliance.
• Foster a culture of accountability, professionalism, and continuous improvement among financial advisors.
5. Monitoring and Reporting:
• Oversee compliance monitoring programs to track advisor activities, identify trends, and address potential issues proactively.
• Generate detailed compliance and risk reports for senior leadership, highlighting key metrics, challenges, and recommendations.
• Provide thought leadership on compliance matters, advising the executive team on strategic implications.
6. Stakeholder Collaboration:
• Work closely with legal, risk, operations, and product teams to ensure a unified approach to compliance and advisory operations.
• Represent the organization in industry forums, advocacy groups, and with external stakeholders to influence regulatory policies.

Qualifications:
• Experience: 10+ years in financial services, with significant experience in compliance, advisory frameworks, and leadership roles. Experience with regulatory bodies or audit functions is a plus.
• Education: Bachelor’s degree in finance, business, law, or a related field. 
• Skills:
• Comprehensive knowledge of financial regulations and compliance frameworks.
• Strategic thinking and ability to lead cross-functional initiatives.
• Strong leadership and interpersonal skills to influence and manage diverse teams.
• Proficient in data analysis and reporting tools to support monitoring and decision-making.

Key Competencies:
• Exceptional attention to detail with a proactive approach to problem-solving.
• Strong communication and negotiation skills for interacting with regulators and senior stakeholders.
• High ethical standards and a commitment to upholding fiduciary principles.

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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