AVP, BRCM Conduct at UOB Group in Bangkok, Bangkok, Thailand

AVP, BRCM Conduct Location: Bangkok (City Area) 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 Key Responsibilities: Providing advisory to support and advise Investment, Insurance Product, and Sales Segments on wealth products and sales process controls. Work with Product manager and Sales to determine controls gaps and advise on effective control design. Provide advisory on controls design process to related parties in order to mitigate operational risk for wealth products. Providing Fair Dealing Score evaluation across business units and ensuring that significant customer Fair Dealing related risks, incidents, and issues are escalated and notified as part of the Issue Management Process. Responsible to run mystery shopping program for Investment and Insurance Business. Coordinate with stakeholder and vendor enhance checklist to properly address inappropriate investment and insurance sales process, analysis of mystery shopping results and provide guidance on sustainable corrective action plans. Reviewing and consultant on corrective action plan regarding incident / issue related to investment and insurance sales process, investment/insurance operation process including new product/system launching. Review/enhance framework related to wealth management e.g. review and testing, wealth sales surveillance and disciplinary guidelines. Training and Communication on financial advisory related to robust control execution and improve sales awareness. Performing other duties/ad hoc projects related to Wealth Management as assigned. หมายเหตุ : ธนาคารมีความจำเป็นจะต้องดำเนินตรวจสอบและเก็บข้อมูลประวัติอาชญากรรมของผู้สมัครในตำแหน่งงานนี้เพื่อตรวจสอบคุณสมบัติหรือลักษณะต้องห้ามตามนโยบายของธนาคาร Remark: The Bank requires the checking and collection of criminal records for candidates of this position in order to verify qualifications and/or disqualifications for the job position in accordance with the Bank’s policy. Additional Requirements English, Thai, University-Master - Banking & Finance, University-Master - Business Administration/Management, University-Master - Compliance, University-Master - Economics & Finance 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. Apply now and make a Difference