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← United Overseas Bank (Vietnam) Limited (UOB)

Business Risk & Control Management Manager

United Overseas Bank (Vietnam) Limited (UOB) · Hồ Chí Minh
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Loại hình
Toàn thời gian
Hình thức
Tại văn phòng
Cấp bậc
Trưởng / Phó phòng
Ngành nghề
Ngành nghề khác
Mức lương
Thương lượng
Địa điểm
Hồ Chí Minh, Hồ Chí Minh, Hồ Chí Minh

Tổng quan

  • About the Department
  • The Wholesale Banking 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…
  • The successful candidate will work as UOBV WB risk and control specialists. The key responsibilities are as follows:
  • Advisory and Controls and Management
  • Provide advisory support/guidance to the WB business units on relevant rules and regulations and ensure that relevant business and support functions develop relevant procedures and processes.
  • Works closely with Bank’s Compliance team, who provides independent oversight on Bank-wide compliance matters, to seek advice on relevant regulatory subjects and ensure business complies with relevant Bank Compliance’s policies and guidelines.
  • Review and provide advisory for investment product, foreign exchange transaction and Legal Lending Limit (“LLL”) to the WB business units.
  • Facilitate and ensure that the relevant sales assurance programs are developed and implemented by respective business and support functions. Act as key point person/consultant to the sales platform on regulatory matters relating to sales processes and procedures.
  • Ensure compliance of the significant and relevant compliance risk to applicable regulations for WB.
  • Define best practices/standards/methods for the management of major compliance/regulatory risks within WB, and working together with WB business units to implement operational policies, processes and procedures to ensure adherence to relevant regulations.
  • Proactively identify areas for improvements and assist to implement/enhance procedures, processes, internal controls to strengthen the first line of defense.
  • AML/CFT/Sanctions
  • Work with WB business units to address AML/CFT/Sanction issues and streamline the review process to drive business efficiency
  • Participate in AML projects and contribute to these projects
  • Provide necessary support to the WB business units and perform quality review of the assessment results including challenging the results where necessary pertaining to the Enterprise Wide Risk Assessment.
  • Lead the monitoring of adherence to the Group AML/CFT/Sanctions policy, guidelines and directives:
  • (a) Monitor ML/TF Sanctions audit issues
  • (b) Work with stakeholders to address potential issues / gaps identified from the ongoing monitoring process
  • Identify and assess money laundering, terrorist financing and sanctions risk exposure for new business programs; and advise Business on appropriate mitigating measures where applicable.
  • Escalate product or process issues that pose ML/TF/Sanctions risk to Bank’s Compliance team in accordance with the escalation protocols.
  • Work with Bank’s Compliance team on AML/CFT/Sanction matters and initiatives (ie. policies, guidelines, framework, training, annual compliance plans, etc).
  • Review and provide advisory for customer acceptance of certain criteria, customers affected by non-material adverse news, maintain / revoke gray list, annual existing product program in accordance with applicable SOP.
  • Provide advisory service of customer acceptance (with certain criteria), grey list (maintenance) and investment product related.
  • General
  • Track enquiries into compliance incidents and complaints, and assist Bank’s Compliance team to carry out further investigations as appropriate
  • Reviewing responses to regulators and communicating with regulators
  • To identify and work with analytics/data on system initiatives to increase operational efficiencies
  • Manage and co-ordinate, internal and external audits including regulatory inspections and to follow up on any issues raised and satisfactorily closed.
  • Provide the necessary training material for the sales (working with business’ training team or Learning & Development Centre, where applicable) on new procedures & processes as well as any compliance-related matters.
  • Participate and undertake ad hoc projects related to business controls and operational risk

Yêu cầu

  • Aml/Cft/Sanctions, Wholesale Banking, Operational Risk, Data Analytics, analytical skills

Quyền lợi

  • Annual Salary Review; Performance Bonus
  • Healthcare Insurance Policy; Annual Health Check-Up Program
  • Annual Paid Leave
  • Tenure Policy (Long-service award)
  • Staff Housing Loan Policy (Mortgage)
Chế độ thưởngChăm sóc sức khỏeĐào tạo

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