Responsible Officer– Type 9 (Non-Sole)
Look's Asset Management Limited
- Company Industries：Others
Job Information
- Post Date：2019-04-16
- Career Level：Senior
- Location：Tsim Sha Tsui
- Yr(s) of Exp：3 years
- Qualification：Degree
- Salary：HK$25,000 - 45,000 /month (negotiable)
- Employment Type：Contract, Part Time
- Others：Contract, Part Time
- Job Function：Financial Services Equities / Capital Markets
Job Description
On behalf of a long-established HK listed company to hire Type 9 R.O
Job Duties:
- Assist in SFO license application in preparing and setting up process, operations and infrastructure of the firm.
- Act as Responsible Officer for SFC Type 9 regulated activities.
- Assist to set-up REITs.
- 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.
- Assist in ad-hoc project(s) when assigned.
Job Requirements:
- Degree holder or higher in Law, Finance or Business related disciplines.
- Qualified holder of SFC Responsible Officer license Type 9 is a must.
- Minimum 3 years relevant experience in securities and/or asset management, experience in REITs set-up is an advantage.
- 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.
- Flexible working hour when working as part-time basis.
Please submit the application by clicking APPLY NOW with your current and expected salary. Personal data will be used for recruitment purpose only.
Company Info
Established in 2009, Look’s Asset Management Limited is a licensed corporation under the SFO engaging in Type 4 (Advising on Securities) and Type 9 (Asset Management) Regulated Activities (Central Entity No.: AUM670). It belongs to the Huge Famous Investment Group, a boutique financial group which offers brokerage/securities, asset management, money lending and consulting services.
It is principally engaged in the asset management business of portfolio management and maintenance.
The Management Team has a combined experience of over 40 years in Investment Banking, M&A, Private Equity, Hedge Fund and Corporate Management.
The company currently has the below product offerings:
- M& A Fund
- Real Estate Fund
- Fixed Income Fund
- Pre-IPO Private Equity Fund
- Discretionary Managed Accounts Services
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