Compliance Manager, Compliance

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

• Degree holder with minimum 8 years of experience in Compliance/Legal within Securities brokerage industries

• 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, work under pressure, manage deadlines and multitask

• 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

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