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, UOB operates through its head office in Singapore and banking subsidiaries in China, Indonesia, Malaysia, and Thailand, as well as branches and offices. UOB has a history spanning more than 80 years, guided by its values—Honorable, Enterprising, United, and Committed—to do what is right, build for the future, work as one team, and pursue long-term success.

Job Description Summary

The MAS FAA Guidelines Compliance and Controls – Documentation Assurance Review staff conduct pre-transaction documentation checks to ensure adherence to the MAS FAA guidelines and the 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 Middle Office Support, playing a pivotal role in the documentation lifecycle for a wide array of financial products. The team ensures compliance, integrity, and accuracy in the documentation provided by Sales Advisors before transactions are executed, reinforcing customer satisfaction and trust in UOB’s products and services.

Key Responsibilities

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

Qualifications and Skills

• 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 stakeholders.
• Minimum 1–2 years of experience in documentation review, or a related role in the financial services industry.
• Proficient in Microsoft Office tools.