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

Stay informed on CITIC CLSA Job Opportunities

Not the right fit? You can create a job alert to receive our latest job openings that meet your interest.