- CLSA Korea is looking for permanent staff in Compliance Department
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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Skills Required
- Bachelor degree
- Minimum 5 years experience in securities brokerage industries
- Compliance experience
- Legal background
- Knowledge of Korean capital market regulations
- Experience with AML monitoring and unfair trading surveillance
- Ability to prepare and review regulatory reports (FSS, KRX, KOFIA, KOFIU)
- Client onboarding experience (CDD, OCDD, EDD)
- Excellent oral and written communication skills in Korean and English
- Excellent computer skills (MS Excel, Word, PowerPoint)
- High professional ethics, integrity, ownership, attention to detail
- Ability to analyse regulatory issues and new product implications
- Self-motivated, able to work under pressure, manage deadlines and multiple tasks
CLSA Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about CLSA and has not been reviewed or approved by CLSA.
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Pay Growth & Progression — Base pay for junior bankers was increased significantly in 2021 to stay competitive in a hot market. This indicates willingness to adjust compensation when talent risks rise.
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Healthcare Strength — Permanent staff are automatically enrolled in healthcare aligned to local markets, with added travel health and security support via International SOS. This points to solid core medical coverage with global-travel assistance.
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Retirement Support — Permanent staff are automatically enrolled in pension plans aligned to local markets. A group retirement plan is administered regionally, signaling formalized retirement benefits infrastructure.
CLSA Insights
What We Do
CITIC CLSA is a wholly-owned subsidiary of CITIC Securities and its overseas business platform. Established in Hong Kong in 1986, CITIC CLSA is Asia’s leading capital markets and investment group, committed to driving the growth strategies of global institutional investors, corporations, governments and high-net-worth individuals. CITIC CLSA’s award-winning research, extensive Asia network, direct links to China and highly experienced financial professionals set CITIC CLSA apart from global investment banks and regional players. Over three decades, CITIC CLSA has built an extensive Asia network with deep local knowledge and connections. Globally, we operate from 13 countries across Asia, Australia, Europe and the Americas. For further information, please visit clsa.com
