Document Assurance Review Team - ACG

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 Description Summary

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.

Reporting to Team Head, Documentation Assurance Review Team, your key responsibilities include:

• 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.

• Meticulous and detail oriented. • Strong understanding of Financial Advisory processes, regulatory requirements, and compliance standards.

• Strong communication and interpersonal skills for interacting with sales teams and inter-department/division. • Minimum 1-2 years of experience in documentation review, or a related role with the financial services industry. • Proficient in Microsoft Office Tools.

Additional Requirements

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.

Apply now and make a Difference