Pre-Transaction Document Reviewer

1011 United Overseas Bank Ltd; Singapore; On-site; SGD 60,000 - 90,000; Full time

Job summary

1011 United Overseas Bank Ltd is seeking a Documentation Assurance Review staff to ensure MAS FAA guideline adherence and proper documentation before transactions. This desk-bound, full-time role supports the middle office in safeguarding customer outcomes and regulatory compliance.

You'll work with Sales Advisors to resolve discrepancies, maintain thorough records, and contribute to process improvements in a dynamic banking environment in Singapore.

Qualifications

• Familiarity with MAS FAA guidelines desirable.
• Experience in financial documentation review is a plus.

Responsibilities

• Administer centralized case management and assign reviews.
• Review documents against a predefined checklist.
• Review sales call logs for compliance with standard questions.
• Maintain accurate records and prepare detailed reports.

Skills

Attention to detail

Regulatory compliance

Documentation review

Communication skills

Job description

Company

1011 United Overseas Bank Ltd

About UOB

United Overseas Bank Limited (UOB) is a leading bank in ASEAN with a global network in Southeast Asia, Asia Pacific, Europe and North America. Operating through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia, Thailand and Vietnam, we have a global network of about 430 branches and offices in 19 markets. At the heart of UOB is our culture, shaped by the UOB Way and anchored on our four values – Honourable, Enterprising, United and Committed. For more than 90 years, these values have guided how we do right by our customers, collaborate with one another and create long-term value for the communities we operate in. As One Bank, we are committed to helping our colleagues build sustainable careers grounded in purpose, supported by strong values, and enriched with meaningful opportunities to grow.

Job Description

MAS FAA guidelines Compliance and Controls - The Documentation Assurance Review staff are tasked to conduct pre-transaction documentation checks to ensure adherence to the MAS FAA guidelines and PFS sales advisory process, prior to the submission and execution of a transaction at the pre-transaction stage. The Financial Advisory Documentation Review Team serves as the Middle Office Support, playing a pivotal role in the lifecycle of Financial Advisory lifecycle for a wide array of financial products. The team is committed to ensuring compliance, integrity and accuracy in the documentation provided by Sales Advisors before transactions are executed. This role is central to reinforcing our commitment to customer satisfaction and trust in our products and services.

Key Responsibilities

• Administer the centralized case management cycle on rotating schedule, ensure cases are assigned to appropriate officers for assessment, compile the outcome of the reviews for reports and statistical purposes.
• Review the list of documents against a predefined checklist.
• Review the call logs by sales staff to ensure compliance with a standardized set of questions during the remote phone sales.
• Maintain accurate records of the review outcome and preparation of detailed reports on findings from the documentation checks and call reviews.
• Work closely with the sales team to promptly rectify any discrepancies in the documents to ensure closure of the cases.
• Contribute to the development and improvement of documentation check processes and procedures.
• Take on additional responsibilities as needed, in line with the evolving requirements of the organization.
• A desk-bound job (full time work in office) and ability to extend work hours and/or staggered hours when necessary.

Additional Requirements

• Administer the centralized case management cycle on rotating schedule, ensure cases are assigned to appropriate officers for assessment, compile the outcome of the reviews for reports and statistical purposes.
• Review the list of documents against a predefined checklist.
• Review the call logs by sales staff to ensure compliance with a standardized set of questions during the remote phone sales.
• Maintain accurate records of the review outcome and preparation of detailed reports on findings from the documentation checks and call reviews.
• Work closely with the sales team to promptly rectify any discrepancies in the documents to ensure closure of the cases.
• Contribute to the development and improvement of documentation check processes and procedures.
• Take on additional responsibilities as needed, in line with the evolving requirements of the organization.
• A desk-bound job (full time work in office) and ability to extend work hours and/or staggered hours when necessary, English

EEO Statement

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.

Company Culture

We value our people and invest in them as we look to fulfil our purpose of building the future of ASEAN. We seek to create a collaborative and progressive environment for them to succeed in their careers for the long term.

Company Overview

UOB is rated as one of the world's top banks, ranked 'Aa1' by Moody's Investors Service and 'AA-' by both S&P Global and Fitch Ratings. With a global network of 500 branches and offices across 19 countries in Asia Pacific, Europe and North America. In Asia, we operate through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia, Thailand and Vietnam, as well as branches and offices throughout the region.

Career Site

Career Site: UOB Career site