Wealth Management Risk

5 days ago

คลองเตย กรงเทพมหานคร, Thailand United Overseas Bank (Thai) PCL - UOB Full time

Perform Financial Advisory Assurance Review & Test.
Good knowledge in Investment and Insurance Product.
Good understanding of Sales Advisory Regulations.
The Investment and Insurance Sales Surveillance Senior Analyst is a developing professional role. Applies specialty area knowledge in monitoring, assessing, analyzing and/or evaluating processes and data. Identifies policy gaps and formulates policies. Interprets data and makes recommendations. Researches and interprets factual information. Identifies inconsistencies in data or results, defines business issues and formulates recommendations on policies, procedures, or practices. Good understanding of how the team interacts with others in accomplishing the objectives of the area. Develops working knowledge of industry practices and standards. Limited but direct impact on the business through the quality of the tasks/services provided. Impact of the job holder is restricted to own team.

Perform Financial Advisory Assurance Review and Testing for Investment and Insurance Products to ensure that the overall sales processes and operation are in compliance with key applicable regulatory and internal policy requirements.
Drive policy and process related changes to Investment and Insurance Sales Surveillance as well as key controls implementation required by regulatory, business or internal bank policy.
Perform investment and insurance sales surveillance monthly reports and alert generation.
Develop and implement Investment and Insurance surveillance report logic based on policy, regulatory or requirement changes.
Work closely with technology teams in standardizing and improving review workflow process.
Prepare trend analysis and surveillance reports for management reporting.
Governance and oversight related to investment and insurance Sales Surveillance matters both of Investment and Insurance Surveillance Committee.
Facilitate Investment and Insurance Surveillance Committee (ISC) in order to report surveillance alerts disposition results, trend analysis, observation, escalation and business actions by quarterly basis.
Perform quality review for investment and insurance review and disposition of alerts to ensure quality of disposition process end-to-end.
Provide consultations to other internal departments on sales process and branch operational matters.
Report and document the Quality of Work / Exception / Observation report of Sales Representatives.
Continuously seek process improvement to enhance efficiency of the surveillance monitoring process, and to address process/ compliance gaps.
Review and update of policies and unit procedures.
Implementation of processes and procedures on compliance matters.
Monitor work progression ensuring completion of assignments by requested due date.

**Qualifications**:
Minimum 3 to 5 years of experience in Investment Business, Process Improvement or quality control or audit or fraud unit within financial institution experience required.
Subject Matter Expert for multiple retail bank products in the analysis of alerts and investigation of transactional activities to detect any suspicions of Investment and Insurance financial activity.
Good understanding of local sales advisory regulations.
Managerial or manager backup experience preferred.
Proficient in Microsoft Office.
Ability to work under pressure and manage deadlines.
Self-motivated and detail oriented.
Proven organization and time management skills.
Demonstrated problem-solving and decision-making skills.
Consistently demonstrates clear and concise written and verbal communication skills.

**Education**:
**Education level**: Bachelor s degree or equivalent.

**Preferred**: Excellent domain knowledge in retail banking Investment and Insurance products.

**Preferred**: Project and change management basic experience.

**Job skills required**: Microsoft Office, Assurance, Compliance

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