Associate/Manager, Compliance

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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