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Job ref no.: CT3115604-01#0045
UOB Kay Hian (Hong Kong) Limited

COMPLIANCE OFFICER

UOB Kay Hian (Hong Kong) Limited

Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan

Responsibilities:

 

  • Handle compliance related matters for corporate finance activities including but not limited to review corporate/legal/compliance documentation, perform AML assessment and independence checks and liaise with solicitors, regulatory authorities and other relevant parties as required throughout deal execution process.
  • Conduct continuous compliance review and surveillance exercises on all relevant Investment Banking Department transactions and activities.
  • Formulate, implement, maintain and review compliance manuals, policies, procedures and systems to ensure that all investment banking activities are in compliance with the applicable laws, regulatory requirements and the Group's policies
  • Negotiate with counterparties regarding all relevant legal agreements and documents
  • Liaising with external counsels on regulatory aspects of transactions

 

Requirements:

 

  • Bachelor’s degree from a major university with 5+ years of legal and compliance experience dealing with Type 6 regulated activities in major investment banks or SFC licensed corporations
  • Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
  • Strong working knowledge of securities law and capital markets practice

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, 15/F China Building, 29 Queen’s Road Central, Hong Kong or by email : [via CTgoodjobs Apply Now ]

Only shortlisted candidates will be notified

More job information
Job ref no. CT3115604-01#0045
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Non-management level
Education
  • Degree