Job ref no.: CT3129479-01#0037
UOB Kay Hian (Hong Kong) Limited

Assistant Manager/ Senior Compliance Officer

UOB Kay Hian (Hong Kong) Limited

Responsibilities:

  • 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

 

Requirements:

  • 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
  • 3 years’ experience in CPA firm preferred
  • 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 ]


Only shortlisted candidates will be notified.

More job information
Job ref no. CT3129479-01#0037
Salary
Job Function
Industry
Location
  • Wanchai
Employment Term
  • Permanent
  • Full-time
Experience
  • 5 years - 8 years
Career Level
  • Middle management level
Education
  • Degree
Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan