Associate/Manager, Compliance

Position Description

Key Areas of Responsibilities

Conduct monitoring on various unfair trading, AML related issues, etc
Review and/or prepare regulatory reports to FSS, KRX, KOFIA & KOFIU and other management reports
Support the compliance head in handling regulatory and internal investigations/audits & department tasks
Compile responses to/from regulatory queries/investigations
Develop, update & enforce internal policies and procedures in compliance with local regulations
Arrange meetings and prepare minutes (e.g. for BOD, etc)
Update & maintain employee for the registration as a professional at KOFIA
Review the staff dealing related process and collecting documents
Deliver targeted compliance training
Perform client onboarding – CDD, OCDD & EDD

Requirements

Bachelor degree holder with minimum 5 years of experience in Securities brokerage industries, Compliance experience is recommended but not required
Legal background is preferred
Possesses high standards of professional ethics, integrity and takes ownership of the work
Knowledge in Korean regulations relating to Capital Market
Ability to analyse issues with new products and regulatory requirements
Self-motivated, diligent‎, and can work under pressure, and manage deadlines and a number of tasks
Have great attention for details and be a good team player
Excellent oral and written communication skills in Korean and English
Excellent computer skills such as MS Excel, Word & Powerpoint
Well rounded, and a team player

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