About the role
AI summarisedThe Vice President for Financial Advisory Framework & Compliance at UOB leads the development and oversight of the compliance framework for financial advisors, ensuring regulatory adherence and ethical advisory services. This senior role involves strategic leadership, risk management, advisor training, and collaboration with senior stakeholders and regulatory bodies.
BusinessFull-timeGeneral
Key Responsibilities
- Design and lead the strategic vision for the financial advisory framework, ensuring it meets regulatory requirements and business objectives.
- Drive compliance initiatives that align with fiduciary responsibilities, industry trends, and best practices.
- Serve as a key decision-maker in shaping policies, tools, and strategies that support advisors in delivering exceptional, compliant client experiences.
- Oversee the organization's adherence to financial advisory regulations (e.g., SEC, FINRA, or regional equivalents) and internal governance standards.
- Monitor and respond to changes in regulatory landscapes, ensuring timely updates to the advisory framework and processes.
- Manage relationships with regulatory bodies, coordinating audits, examinations, and inquiries.
- Identify, assess, and mitigate risks related to financial advisory activities and client interactions.
- Ensure proper disclosure protocols are in place, supporting transparency and client trust.
- Establish controls to address conflicts of interest and ensure the organization's fiduciary standards are upheld.
- Lead initiatives to train financial advisors on compliance policies, ethical standards, and regulatory changes.
- Provide advisors with tools and resources to enhance their advisory practices while ensuring compliance.
- Foster a culture of accountability, professionalism, and continuous improvement among financial advisors.
Requirements
- Experience: 10+ years in financial services, with significant experience in compliance, advisory frameworks, and leadership roles. Experience with regulatory bodies or audit functions is a plus. Education: Bachelor's degree in finance, business, law, or a related field. Comprehensive knowledge of financial regulations and compliance frameworks. Strategic thinking and ability to lead cross-functional initiatives. Strong leadership and interpersonal skills to influence and manage diverse teams. Proficient in data analysis and reporting tools to support monitoring and decision-making. Key Competencies: Exceptional attention to detail with a proactive approach to problem-solving. Strong communication and negotiation skills for interacting with regulators and senior stakeholders. High ethical standards and a commitment to upholding fiduciary principles. **Additional Requirements* Develop, Engage, Execute, Strategise 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