Responsible Officer - SFC Type 1, 4 & 9 (Flexible hour / Part-time)
Safari Asia Limited
- Company Industries：Others
Job Information
- Post Date：2019-03-13
- Career Level：Senior
- Location：Tsim Sha Tsui
- Yr(s) of Exp：5 years
- Qualification：Degree
- Salary：Salary provided
- Employment Type：Contract, Part Time, Temporary
- Job Function：Financial Services Equities / Capital Markets Asset Management
Job Description
Responsibilities:
- Assist in SFO license application in preparing and setting up process, operations and infrastructure of the firm
- Act as Responsible Officer for SFC Type 1, 4 and 9 regulated activities
- Comply with all applicable laws, codes, rules and regulations and standard of good market practices
- Liaise with SFC and other regulators regarding regulatory and licensing matters
Requirements:
- Degree holder or higher in Law, Finance or Business related disciplines
- Qualified holder of SFC Responsible Officer license Type 1, 4 & 9 is a must
- Minimum 5 years relevant experience in securities and/or asset management
- Proficient in regulated activities, business operation, and relevant Securities and Futures Ordinance
- Sound knowledge of SFO, regulations and guidelines of relevant regulatory authorities and risk management control
- Good command of written & spoken English and Chinese (including Mandarin)
Interested parties, please click APPLY NOW and state your expected salary and date of availability to HR Department.
All Personal data collected will be used for recruitment purpose only.
Company Info
Established in 2009, Safari Asia Limited is a licensed corporation under the SFO engaging in Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) Regulated Activities (Central Entity No.: AUM670). It is part of Huge Famous Investment Group, which is a boutique financial group that offers brokerage/securities, asset management, money lending and consulting services.
The Management Team has years of experience in Investment Banking, M&A, Private Equity, Hedge Fund, Corporate Management and Business Consulting areas.
The company currently has the below product offerings:
- Brokerage Services - servicing over 22 markets and countries with over USD3B transacted
- Fund Management Services - both Cayman and OFC offerings for both private and public funds and securities
- SAAM (Safari Asia Asset Management) - wealth and investment management services
We are constantly looking for results driven talents with a positive working attitude to join our growing team.
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