Vice President, Regulatory Compliance

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

• Deliver timely, expert compliance advice to Wholesale Banking Business which cover corporate lending, Global Markets and DCM activities.
• Handle regulatory queries from internal stakeholders, regulators, and auditors, including support for on‑site and off‑site inspections.
• Advise on regulatory and emerging risks including new product approval, market conduct, suitability, conflicts of interest, information barriers, best execution, and surveillance requirements.
• Monitor, interpret and communicate new or evolving regulatory requirements relevant to Global Markets.
• Draft, review, and maintain compliance policies, manuals, and supervisory procedures in line with regulatory changes, Head Office requirements, and industry best practices.
• Perform thematic reviews, control testing, and surveillance-related enhancements as part of the Compliance Plan or senior management directives.
• Participate in compliance risk assessments and track remediation of identified gaps.
• Support global compliance integration, cross‑border coordination, and alignment with Group‑wide standards.
• Assist the Head of Regulatory Compliance in compliance governance, committee reporting, and strategic initiatives

Job Requirements

• Degree in Accounting, Business Administration, Finance, Law, or a related discipline.
• Minimum 10 years of relevant experience in regulatory compliance, risk management, or audit within financial institutions, professional services firms, or regulatory authorities.
• Proven experience in regulatory engagement, including handling regulatory inspections, examinations, and audits.
• Solid understanding of market conduct requirements, including best execution, conflicts of interest management, information barriers, and surveillance frameworks.
• Strong knowledge of HK regulatory requirements and their practical application within Global Markets businesses. Familiarity with Global Markets products, including FX, rates, fixed income, derivatives, and structured products; DCM experience is an advantage.
• Demonstrated ability to interpret regulations and provide clear, pragmatic compliance advice to business stakeholders.
• Excellent communication and interpersonal skills, with the ability to engage confidently with senior management and key stakeholders.
• Strong analytical, problem‑solving, and risk assessment capabilities
• Holder of ECF on Compliance accredited by HKIB is required.

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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