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AVP, Regulatory Compliance

UOB (Thailand)
UOB (Thailand) (Bangkok Metropolitan Area)
Bangkok, Thailand 🇹🇭
UOB (Thailand)
Guided by Asian principles of prudence, enterprise and commitment for more than 80 years, we are committed to building a better future for ASEAN. Through our extensive network and suite of capabilities, we are uniquely positioned to offer financial solutions to the people living in, as well as businesses that connect with and operate within the region.

Detail posisi

The AVP, Regulatory Compliance position is responsible for providing expert guidance on regulatory requirements, enhancing compliance risk management, and ensuring adherence to banking regulations within the Retail Segment.

Kewajiban

Key Responsibilities:
• Serve as the primary point of contact for BU/SUs within the Retail Segment, providing expert guidance on the interpretation and application of relevant regulatory requirements, particularly in relation to the Bank of Thailand's Market Conduct & Responsible Lending principles and the Personal Data Protection Act (PDPA).
• Collaborate with compliance and legal teams to enhance In-Business Compliance Risk Management, assisting businesses in identifying and mitigating regulatory risks while operating within their defined risk appetite.
• Remain updated on banking regulations impacting the Retail Segment, facilitating and overseeing the completion of Regulatory Impact Assessment Questionnaires for new or revised regulations. Provide gaps analysis, actionable recommendations and engage in project execution as necessary, ensuring timely resolution of compliance issues and escalating risks or delays as appropriate. Prepare regular updates for senior management on the status of Regulatory Impact Assessments.
• Conduct primary reviews of sales materials such as sales scripts and training resources, to ensure compliance within the Retail Segment before final approval by Compliance/Legal team.
• Support the retail product team in assessing Product Approval Reports (PAR) for new product launches.
• Conduct Market Conduct matters by reviewing relevant policies, providing e-learning refreshers, and facilitating the monthly Market Conduct Committee.
• Develop and maintain guidelines relevant to the compliance responsibilities of the Retail Segment.
• Perform PDPA compliance reviews for Retail Segment as assigned by the Data Protection Officer (DPO).
• Undertake additional responsibilities and ad hoc projects related to Regulatory Compliance as needed.

Kualifikasi

Qualifications:
• Master’s degree in Business Administration, Finance, Economics, Law, or a related discipline; or a comparable combination of education and experience in regulatory compliance or internal audit.
• Minimum of 3 years of experience in Compliance, Audit, or related areas within a financial institution, ideally in the retail sector.
• In-depth knowledge of banking regulatory requirements, products, and processes.
• Exceptional communication and interpersonal skills, with a proven track record of fostering collaboration and building effective relationships with stakeholders across various functions.
• Strong critical thinking and analytical abilities, with the capacity to interpret and assess implications for operational and regulatory compliance risks.
• Outstanding organizational skills, adept at managing multiple assignments and prioritizing tasks effectively.
• Proven problem-solving capabilities, a proactive mindset, and a strong commitment to teamwork.
• Detail-oriented, results-driven, self-motivated, and enthusiastic, with a positive outlook.
• Proficient in Microsoft Office Suite, with strong data visualization and presentation skills.
• Excellent command of English.