Position :

Title : Manager, Compliance (Investment Management)

Department : Legal & Compliance

The Legal & Compliance department shall be responsible and make sure that company carries on its
business endeavors in line with local laws, rules and regulations as well as other policies and minimum
standards issued by UOB Group.


Job Description :

• Develop & maintains Compliance Manual (Investment Management), monitor compliance & report on exception to local and regional management.
• Monitor & report on Prospectus, local regulations etc.
• Oversee establishment of client account, portfolios, etc. Ensure all documentation is signed and lodged with appropriate persons.
• Daily monitor company investment for the fund under management in regard to the investment limitation as specified by the SEC and the fund’s project.
• Report to the SEC and Trustee of the fund in case that investment is over the investment limitation.
• Communicate and disseminate relevant laws, regulations, rules and notifications to employees.

Requirements :

• Master/ Bachelor degree in legal/business
• At least 3-5 years experiences in Compliance (investment management) fromasset/ fund management company.
• Good understanding of SEC regulations
• Exposure to compliance issues and practice.
• Excellent communication & writing skills.

Position :

IT Security Management, Risk Management & Performance Department

Responsible for enterprise-wide Information Security program, Data Security, Access Control, Cryptographic Control, Operation Security, Communication system security, IT project management, IT incident management and IT contingency plan to comply with related regulator.

Job Description :

• Establish UOBAMTH-wide IT Security Management and Cyber Resiliency Policy and supporting standards to ensure confidentiality and availability of data.
• Provide security awareness training on the security policy of UOBAMTH.
• Develop IT Security procedures in accordance with The Policy.
• Ensure that responsibilities for IT security and cyber resiliency are defined and disseminated to all personnel.
• Consider security requirements when setting the direction for the information technology and architecture that UOBAMTH should adopt.
• Review and approve the use of new and appropriate technologies that enhance the security and integrity of IT assets in UOBAMTH.
• Monitor and review the security of UOBAMTH's IT assets.
• Guide the handing of and responding to security incidents within UOBAMTH in accordance with the established Incident Response Plan.

Requirements :

• Bachelor or Master’s degree in Computer Engineering, MIS, IT or a related field.
• At least 5 years experiences in cyber security area in Finance or Banking industry.
• Experience with offensive security analysis tools and tactics.
• Strong cyber threat intelligence and information security experience in complex organizations
• Experience in system and application security management and control.
• Experience in facilitating information security risk assessments.
• Familiarity with cyber security threats, defenses, motivations and techniques.
• A positive, can-do attitude, who naturally expresses a high degree of empathy to others.
• Efficient communication and team- player skills.

 

Position :

Title :  VP, Compliance (Investment Management)

Department :  Legal & Compliance 

Job Description :         

• Develop & maintains Compliance Manual (Investment Management), monitor compliance & report on exception to local and regional management.
• Monitor & report on Prospectus, local regulations etc.
• Oversee establishment of client account, portfolios, etc. Ensure all documentation is signed and lodged with appropriate persons.
• Daily monitor company investment for the fund under management in regard to the investment limitation as specified by the SEC and the fund’s project.
• Report to the SEC and Trustee of the fund in case that investment is over the investment limitation.
• Communicate and disseminate relevant laws, regulations, rules and notifications to employees.

Requirements :

• Master/ Bachelor degree in legal/business
• At least 3-5 years experiences in Compliance (investment management) from Asset / Fund management company.
• Good understanding of SEC regulations
• Exposure to compliance issues and practice.
• Excellent communication & writing skills