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CI
CITIC CLSA
Associate/Manager, Compliance
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Location
Seoul
Work mode
on-site
Type
full-time
Department
Compliance
Company size
10,000+ people
First seen
1w ago
Last seen
2d ago
Position Description
About the role
•
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)
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Update & maintain employee for the registration as a professional at KOFIA
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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
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Self-motivated, diligent, and can work under pressure, and manage deadlines and a number of tasks
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Have great attention for details and be a good team player
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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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