FAA Investigator – Financial Advisers Compliance

United Overseas Bank Limited (UOB); Singapore; On-site; SGD 90,000 - 130,000; Full time

Job summary

United Overseas Bank Limited (UOB) in Singapore seeks a Compliance Investigator to support the Regulatory Compliance team. The role focuses on investigating complaints related to the Financial Advisers Act, reviewing sales documents, and assessing findings for misconduct.

You will report with objective analyses and help coordinate remedial actions with regulators and internal stakeholders. The role involves data analysis to identify trends, producing management reports on breaches, and assisting

Responsibilities

• Investigate complaints under the Financial Advisers Act through interviews with relevant stakeholders, review of sales documents against regulatory requirements and Bank policies.
• Assess investigation findings in relation to the investment sales process and determine any misconduct by sales representatives.
• Evaluate the Business Division's compliance with regulatory requirements, especially the Financial Advisers Act.
• Report investigation findings with objective analysis and recommendations; follow up on remedial action.
• Assist in managing compliance requirements for the Business / Support Sectors under the division's purview.
• Analyze and report investigation data and trends by developing data analysis to determine significant trends or risk areas.
• Provide management reporting of breaches by Business / Support Sectors.
• Assist and facilitate training for staff of Business / Support Sectors when required.
• Handle or participate in ad-hoc projects requiring compliance support, such as liaising with regulators and auditors.
• Assist Section Head in matters related to Regulators and Auditors (Internal and External).

Job description

United Overseas Bank Limited (UOB) in Singapore seeks a Compliance Investigator to support the Regulatory Compliance team. The role focuses on investigating complaints related to the Financial Advisers Act, reviewing sales documents, and assessing findings for misconduct.

You will report with objective analyses and help coordinate remedial actions with regulators and internal stakeholders. The role involves data analysis to identify trends, producing management reports on breaches, and assisting