About this role
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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