Vice President of Compliance Vice President of Compliance …

Sheng Yuan Holdings Limited
in Hong Kong
Permanent, Full time
Last application, 04 Dec 21
Sheng Yuan Holdings Limited
in Hong Kong
Permanent, Full time
Last application, 04 Dec 21
Sheng Yuan is a main board listed company with business covering direct investment, asset management, securities brokerage, futures trading, financial services and trading business. We are now looking for high caliber candidates to join our team.

Job descriptions:

  • Keep abreast of the regulatory developments, interpret and provide advice on policies, regulatory requirements and impact, and control related processes, in particular on Type 1, 4 and 9 SFC licensed activity.
  • Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes.
  • Prepare and submit regulatory filings to the local regulator.
  • Define account opening procedure and review customer’s documents to ensure compliance with KYC and AML requirements, both from the perspectives of local regulatory and internal group requirements for new account opening and periodic reviews.
  • Take the Compliance, AML, and other related roles in MIC chart
  • Assist to carry out Compliance Risk Assessment.
  • Draft project-based NDA and review and revise NDA from external parties
  • Review legal documentation.

 Job Requirements

  • University degree holder, preferably in finance, business or law.
  • Minimum 5 years of working experience in compliance/legal function from professional practice and/or the financial services institutions; Experience with RA 1,2,4,6,9 LC or RI is a strong plus.
  • Strong “to-do” sense on providing business advisory in conduction of compliance and legal work.
  • Solid understanding of the SFC Rules and Regulations and AML Guideline.
  • Be able to strike the right balance on compliance and business development.
  • Knowledge of Hong Kong legal system, common law and contract law.
  • Proven ability to work as an effective partner with the business while retaining objectivity, independence of thought and decision-making.
  • Demonstrated problem solving and analytical ability, and strong communication skills.
  • Full proficiency in English, Cantonese and Mandarin (Spoken, Reading, Writing.


Attractive remuneration package and good fringe benefits including 5-day work and good career prospect will be offered to the right candidate. Interested parties please send full resume with present and expected salary to the HR department by email to

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