포지션 상세
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries.
• Conduct various trade surveillances and programmatic reviews
• Conduct regular compliance training for new hires
• Preparing and filing regulatory reports and other management reports
• Maintenance of policies and procedures
• Support senior compliance management in handling regulatory inquiries/inspections and other internal investigations/audits
• Support the maintenance of the Responsibilities Map framework
• Strong analytical skills and ability to exercise judgment and manage execution under pressure
• Effective communication and project management skills
• Inquisitive and proactive in identifying risks and proposing solutions
• Working knowledge in Korea securities regulations, exchange rules on listed securities and derivatives
• Fluency in both Korean and English
주요업무
• Provide coverage for the sales/trading businesses in their day to day business operations• Conduct various trade surveillances and programmatic reviews
• Conduct regular compliance training for new hires
• Preparing and filing regulatory reports and other management reports
• Maintenance of policies and procedures
• Support senior compliance management in handling regulatory inquiries/inspections and other internal investigations/audits
• Support the maintenance of the Responsibilities Map framework
자격요건
• Minimum of 3 years experiences in financial industry• Strong analytical skills and ability to exercise judgment and manage execution under pressure
• Effective communication and project management skills
• Inquisitive and proactive in identifying risks and proposing solutions
• Working knowledge in Korea securities regulations, exchange rules on listed securities and derivatives
• Fluency in both Korean and English
