Brcm, Wealth Sales Surveillance

UOB United Overseas Bank Limited

Singapore
Not specified (assumed in-office, considering the role's nature)
3-5 years conduct risk control experience
Mas faa regulations knowledge including n14
Retail wealth product understanding investments insurance fx bonds
UOB United Overseas Bank Limited is seeking a candidate for the position of Wealth Sales Surveillance in Singapore. The ideal candidate will have experience in compliance and conduct risk control, specifically in retail and wealth advisory services

Job Summary

  • The role involves executing post-transaction sales surveillance reviews using data-driven alerts and thematic risk scenarios.
  • Candidates must assess sales transactions for suitability, affordability, and alignment with client investment objectives while identifying potential misconduct.
  • The position requires presenting key findings and recommendations to business management to drive remediation and accountability.

Matching Summary

Match Score: 85

UOB United Overseas Bank Limited is seeking a candidate for the position of Wealth Sales Surveillance in Singapore. The ideal candidate will have experience in compliance and conduct risk control, specifically in retail and wealth advisory services.

Skills & Requirements

Must-have

  • 3-5 years conduct risk control experience
  • MAS FAA regulations knowledge including N14
  • Retail wealth product understanding investments insurance FX bonds

Nice-to-have

  • Strong analytical and independent challenge skills
  • Excellent written and verbal communication abilities
  • Ability to influence stakeholders effectively

Key Requirements

  • Bachelor's degree required
  • 3-5 years prior experience in compliance or audit
  • Proficiency in Mandarin Chinese language

Work Rights

Not specified

Tailored Resume

Cover Letter