Compliance Assistant - UOB Kay Hian (Hong Kong) Limited - Wan Chai

Job Highlights
Degree holder in related disciplines
Fresh graduates are also welcome
Competitive Benefits Package
Job Description


Establish, implement and monitor compliance policies, procedures and standards of Hong Kong operations
Ensure that daily operations comply with Hong Kong SFC and/or other regulatory requirements in different markets
Assist in liaising with HKEX, SFC and other regulatory organizations for all compliance matters
Conduct compliance reviews including the monitoring of dealing activities
Provide advisory and support to business operation units on compliance matters
Organize/provide CPT training to SFC license holders
Take part in ad hoc assignments or projects


Degree holder in Law, Finance, Accounting, Business or related discipline(s)
Experience in stockbroking / compliance will be an added advantage
A good team player, quick learner, self-motivated, strong sense of responsibility and discipline with good communication skills
Independent, good communication and interpersonal skills, willingness to learn and ability to multi-task
Ability to work with PC-based applications software including input of Chinese characters
Fresh graduates are also welcome

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 clicking the below “Apply Now” button.
Additional Information
Career Level
Entry Level
Years of Experience
Job Type
Full Time, Permanent
Job Functions
Banking / Finance, Financial Services, Others, Professional Services, Legal & Compliance
Company Overview

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.

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