Job ref no.: CT3129479-01#0087
UOB Kay Hian (Hong Kong) Limited

Assistant Compliance Manager

UOB Kay Hian (Hong Kong) Limited


  • To establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations
  • Provides consultation to local, overseas and China offices on SFO regulatory and compliance issues
  • To ensure that daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets
  • To handle enquiries from Regulators
  • Perform and review regular compliance checking
  • Organize/provide CPT training to SFC license holders
  • Assists Department Head to supervise team members


  • Degree holder in Law, Finance, Accounting, Business or related discipline(s).
  • Minimum 5 years' solid relevant experience in securities brokerage firm or fund house or investment bank or sizable financial institutional
  • Familiar with SFO and HKEX rules in securities, futures and corporate finance as well as the operations, products and services in licensed corporations.
  • A good team player, quick learner, self-motivated, strong sense of responsibility and discipline with good communication skills
  • Good command of written and spoken English and Mandarin

Interested candidates are invited to send a comprehensive resume stating current and expected salaries to Head of Human Resources, UOB Kay Hian (Hong Kong) Limited, 6/F Harcourt House, 39 Gloucester Road, Wan Chai, Hong Kong or by email : [via CTgoodjobs Apply Now ]


More job information
Job ref no. CT3129479-01#0087
Job Function
  • Wanchai
Employment Term
  • Permanent
  • Full-time
  • 5 years - 8 years
Career Level
  • Middle management level
  • Degree
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan