Jobfoundry
Jobfoundry
UOB

BRCM, Wealth Sales Surveillance

UOB
BusinessCentral Region (City Area)Full-time1 weeks ago
Apply Now

About the role

AI summarised

This is a wealth sales surveillance role at a leading Asian bank, UOB. The position involves executing post-transaction sales surveillance reviews, assessing sales conduct, and ensuring compliance with MAS FAA regulations. The role requires 3-5 years of experience in conduct risk, compliance, or audit within retail wealth advisory.

BusinessFull-timeGeneral

Key Responsibilities

  • Execute post transaction sales surveillance reviews using data driven alerts and thematic risk scenarios.
  • Assess sales transactions or behavior patterns for suitability, affordability, and alignment with clients' investment objectives and profiles.
  • Identify potential sales misconduct, control weaknesses, or emerging risk trends.
  • Obtain and evaluate supporting documentation and evidence, and engage Sales Representatives, Supervisors, and Business Units to validate or challenge review outcomes.
  • Assess cases against MAS FAA requirements and internal process / standards.
  • Prepare investigation documentation and support escalation, disciplinary processes, and MAS misconduct reporting (FAA N14) where required.
  • Present key findings, trends, and recommendations to business and sales management to drive remediation and accountability.
  • Contribute to continuous enhancement of surveillance parameters, methodology, and procedures.

Requirements

  • Prior experience (3 - 5 years) in Conduct Risk Control / Assurance / Compliance / Audit functions covering Retail / Wealth Advisory and Sales Processes.
  • Strong and practical knowledge of MAS FAA regulations or guidelines, including FAA N16, G10, N03, N20 / G14, N14, and FSG G01.
  • Good understanding of Retail Wealth products, such as investments, insurance, FX, bonds, and structured products.
  • Strong risk and control mindset with sound judgment in assessing conduct and sales practices.
  • Curious, analytical, and able to independently challenge front line explanations.
  • Good written and verbal communication skills, with the ability to engage and influence stakeholders.
  • Chinese (Mandarin)