Assistant VP, Quality Control, Group Compliance

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

The successful candidate will join the Group Compliance – Compliance Strategy and Governance Division.

The team is responsible for conducting independent assurance reviews to assess whether key compliance activities are executed effectively, consistently and in accordance with internal policies, procedures and regulatory expectations.

As regulatory expectations increasingly emphasize risk culture, conduct and accountability, the team plays an important role in strengthening the Bank’s ability to understand not only what went wrong in control failures, but also why. This includes examining behavioural, decision-making and organisational factors that may contribute to recurring issues or systemic compliance incidents.

Working closely with stakeholders across Compliance and Risk, the role will apply structured root cause analysis and behavioural insights to deepen understanding of control breakdowns and translate assurance findings into meaningful improvements in compliance effectiveness and organisational learning.

Key Responsibilities

• Conduct independent quality control and assurance reviews to identify errors, control gaps and areas of compliance weakness, and track remediation to ensure timely and effective resolution.
• Lead and execute root cause analysis (RCA) of assurance findings to identify underlying drivers of control failures, including behavioural and organisational factors where relevant.
• Apply the Bank’s RCA and Behavioural RCA methodologies to analyse decision-making patterns, control design weaknesses and cultural influences affecting compliance outcomes.
• Prepare clear and concise reports with actionable recommendations addressing both procedural gaps and underlying root causes.
• Evaluate remediation actions to ensure solutions effectively address root causes and reduce the risk of recurrence.
• Facilitate lessons learned discussions, workshops and knowledge sharing sessions to promote awareness and continuous improvement across compliance teams.
• Develop data-driven assurance use cases, leveraging analytics to identify trends, emerging risks and potential control hotspots requiring targeted reviews.
• Support the Team Lead in preparing periodic updates and insights for Group Compliance senior management.
• Identify behavioural or cultural themes emerging from assurance reviews and contribute insights to broader conduct and risk culture initiatives within Group Compliance and Risk.
• Stay current with regulatory developments and industry practices relating to compliance assurance, conduct risk and governance.

Job Requirements

• Degree holder with academic focus background in or exposure to Psychology, Behavioural Science Economics, Cognitive Science, Sociology or Organisational Behaviour is highly preferred. would be advantageous in Business, Finance, Risk Management, Law, Audit or a related discipline.  
• Exposure to or academic background in Psychology, Behavioural Economics, Cognitive Science, Sociology or organisational behaviour would be advantageous.
• Minimum 5–8 years of relevant experience in applying behavioural science techniques and insights into assurance or control reviews to identify contributing root causes.
• Minimum 5/8 years of relevant experience in compliance assurance, internal audit, regulatory QA, risk governance or control review functions within financial services.
• Experience conducting behavioural structured root cause analysis to investigate control failures, incidents or recurring compliance issues, with the ability to assess related contributors to the identified causes.
• Ability to assess not only procedural gaps but also behavioural or organisational contributors to compliance breakdowns.
• Strong analytical and critical thinking skills, with the ability to translate insights into practical control and compliance improvements.
• Excellent written and verbal communication skills, with the ability to present complex findings clearly to stakeholders.
• Strong stakeholder engagement skills and the ability to collaborate effectively across divisions. to collaborate across Compliance, Risk and business teams.
• Familiarity with data analytics or visualisation tools, Python for analytics*, would be advantageous.
• High level of initiative, curiosity and accountability in driving meaningful insights and improvements.

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