UBS Financial Services Junior Regulatory Compliance Officer in Hong Kong, Hong Kong

Job Reference #:


Business Divisions:

Corporate Center

Your role:

Do you enjoy searching for answers to contentious regulatory matters? Are you interested in regulatory developments in the financial markets? We're looking for someone like this to:

  • Handle s181 inquiries from the SFC, liaising with all internal and external stakeholders to prepare the responses;

  • Collect and compile trades related information pertaining to regulatory requests;

  • Track regulatory guidelines/circulars and coordinate with internal stakeholders on implementation plan; and

  • Maintain the central repository and audit trail of communications with regulators and internal stakeholders.


Junior Regulatory 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 Regulatory Compliance of Compliance & Operational Risk Control (\"C&ORC\") in Hong Kong. Regulatory Compliance reports to HK head of C&ORC. We administer the management of regulatory development and changes to ensure that owners are assigned to new regulatory changes for implementation and the same be tracked. We are also responsible for handling s181 inquiries from the SFC.

Your experience and skills:

You have:

  • experience in the financial industry in either compliance, risk control or an internal audit department, consultancy firm or a regulator

  • strong organisational and analytical skills

  • strong Microsoft Office skills (Word, Excel and Power Point)

  • excellent communication skills

You are:

  • capable of working under pressure whilst juggling multiple tasks in a time sensitive environment

  • willing to question and take responsibility

  • enthusiastic, curious and amiable

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?