Company: 2501 UOB (Thai) Public Company Limited
About UOB
United Overseas Bank Limited (UOB) is a leading bank in Asia with a global network of more than 500 branches and offices in 19 countries and territories in Asia Pacific, Europe and North America. In Asia, we operate through our head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia and Thailand, as well as branches and offices. Our history spans more than 80 years. Over this time, we have been guided by our values – Honorable, Enterprising, United and Committed. This means we always strive to do what is right, build for the future, work as one team and pursue long-term success. It is how we work, consistently, be it towards the company, our colleagues or our customers.
Job Description
Job Summary:
Provide advisory and oversight on wealth management products, sales processes, and regulatory compliance across Investment and Insurance businesses to ensure robust control design, fair dealing, and effective risk mitigation. Partner with Product Managers, Sales teams, and key stakeholders to identify control gaps, strengthen operational risk controls, and drive sustainable corrective actions. Lead fair dealing assessments, mystery shopping programs, and governance framework enhancements to reinforce sales conduct standards and improve customer outcomes. Drive targeted communication initiatives to enhance sales awareness and promote consistent and effective control execution across relevant business areas.
Key Responsibilities
- Providing advisory to support and advise Investment, Insurance Product, and Sales Segments on wealth products and sales process controls.
- Work with Product manager and Sales to determine controls gaps and advise on effective control design. Provide advisory on controls design process to related parties in order to mitigate operational risk for wealth products.
- Providing Fair Dealing Score evaluation across business units and ensuring that significant customer Fair Dealing related risks, incidents, and issues are escalated and notified as part of the Issue Management Process.
- Responsible to run mystery shopping program for Investment and Insurance Business. Coordinate with stakeholder and vendor enhance checklist to properly address inappropriate investment and insurance sales process, analysis of mystery shopping results and provide guidance on sustainable corrective action plans.
- Reviewing and consultant on corrective action plan regarding incident / issue related to investment and insurance sales process, investment/insurance operation process including new product/system launching.
- Review/enhance framework related to wealth management e.g. review and testing, wealth sales surveillance and disciplinary guidelines.
- Training and Communication on financial advisory related to robust control execution and improve sales awareness.
- Performing other duties/ad hoc projects related to Wealth Management as assigned.
Qualifications
- Master's degree in Finance, Economics, Business Administration, Engineering or related fields; or an equivalent combination of education and experience in internal audit, compliance, risk management and business process consultant.
- Preferably 3 years of work experience in a financial institution.
- Prior experience and knowledge in retail banking Investment and Insurance products would be an advantage
- Strong analytical and problem‑solving capabilities, with the ability to interpret data, assess regulatory impacts, and ensure effective risk management.
- Excellent communication, interpersonal, and presentation skills, with the ability to collaborate across functions, build strong stakeholder relationships, and engage senior management.
- Highly organized, detail‑oriented, and self‑motivated, with a proven ability to manage multiple priorities within deadlines.
- Proficient in Microsoft Office applications such as Excel and PowerPoint.
- Good command of English; communication, reading and writing skills.
หมายเหตุ : ธนาคารมีความจำเป็นจะต้องดำเนินตรวจสอบและเก็บข้อมูลประวัติอาชญากรรมของผู้สมัครในตำแหน่งงานนี้เพื่อตรวจสอบคุณสมบัติหรือลักษณะต้องห้ามตามนโยบายของธนาคาร
Remark: The Bank requires the checking and collection of criminal records for candidates of this position in order to verify qualifications and/or disqualifications for the job position in accordance with the Bank's policy.
Additional Requirements
English, Thai, University-Master - Banking & Finance, University-Master - Business Administration/Management, University-Master - Compliance, University-Master - Economics & Finance
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.
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