Vice President, Brcm, Financial Advisory And Conduct
UOB United Overseas Bank Limited
10+ years financial services experience
Strategic leadership in compliance frameworks
Deep knowledge of sec finra regulations
This role combines strategic leadership with a deep understanding of regulatory requirements to ensure the organization delivers compliant and ethical financial advisory services
Job Summary
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.
The position requires designing and leading the strategic vision for the financial advisory framework while managing relationships with regulatory bodies to coordinate audits and examinations.
Matching Summary
This role combines strategic leadership with a deep understanding of regulatory requirements to ensure the organization delivers compliant and ethical financial advisory services.
Skills & Requirements
Must-have
10+ years financial services experience
Strategic leadership in compliance frameworks
Deep knowledge of SEC FINRA regulations
Risk management and mitigation strategies
Advisor training and development programs
Nice-to-have
Experience with regulatory audit functions
Strong negotiation skills with stakeholders
Proactive problem-solving approach
Thought leadership on compliance matters
Key Requirements
Bachelor's degree in finance, business, law, or related field
10+ years experience in financial services compliance
Significant experience in advisory frameworks and leadership roles