Responsibilities:

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

Requirements:

• Degree holder in Law, Finance, Accounting, Business or related discipline(s).
• Minimum 8 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.
• Compliance experience dealing with Type 6 regulated activities in major investment banks or SFC licensed corporations with sponsor licence is preferred.
• 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

We offer good career prospects, competitive remuneration packages to the right candidates.  Interested candidates are invited to send your resume with availability, present and expected salaries to us or by clicking "Apply Now"

Human Resources Department
UOB Kay Hian (Hong Kong) Limited
6/F, Harcourt House, 39 Gloucester Road
Wan Chai, Hong Kong 
Website: http://www.uobkayhian.com.hk

Personal data collected will be used for recruitment purpose only.

We are the largest Singaporean stockbroker by both market capitalisation and size of sales-force, with an extensive foothold in the regional and global markets.  We are looking for qualified individuals to join us.