Associate/Manager, Compliance
CLSA · Seoul
Position Description
- 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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