UBS Financial Services Asset Management Compliance Officer in Hong Kong, Hong Kong

Job Reference #:


Business Divisions:

Corporate Center

Your role:

Are you passionate about working in compliance? Do you relish interacting daily with the business? We are looking for someone like that to:

  • review KYC and Marketing Materials

  • perform compliance monitoring and regulatory reporting

  • prepare compliance and risk reporting to management

  • monitor changes in regulations and group policies and support gap analysis

  • participate in various local and regional projects

  • coordinate compliance training


Asset Management Compliance Officer


Hong Kong

Job Type:

Full Time

Country / State:

Hong Kong

Function Category:


What we offer:

Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.

Why UBS? Video

Take the next step:

Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.

Disclaimer / Policy Statements:

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

Your team:

You’ll be working in the Business Aligned Compliance & Operational Risk Control team within Asset Management in Hong Kong.

We cover all aspects of general compliance duties aligned to the Asset Management business and help by acting as the second line of defence in our business's oversight, identification and management of consequential risks.

Your experience and skills:

You have:

– a degree in in a business, finance, or Compliance and Operational Risk specific training or qualifications

  • at least 2 years of Asset Management Compliance experience and/or Audit experience in Financial Institutions

  • thorough record-keeping abilities and a natural attention to detail

– good Microsoft Office skills.

You are:

– able to critically challenge the status quo with an independent mindset

– a team player

– reliable and resilient (challenging situations and conversations don’t scare you)

– fluent in English and Chinese (additional languages a plus)

About us:

Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.

We are about 60,000 employees in all major financial centers, in almost 900 offices and more than 50 countries. Do you want to be one of us?