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EverBrain is a Strategy of Your Life

CONSULTANT
in charge

남형아

남형아 부장

02-553-7972

외국계 금융사 Compliance

JOB INFORMATION

담당업무 Work

Responsibilities

Responsible for maintaining an effective trading compliance program through monitoring and surveillance sales and trading activities
Compile responses to routine regulatory queries/investigations
Respond to real-time inquiries from traders, sales persons, technology personnel and trading management
Work closely with heads of the Equity Trading Desk group acting as a resource for education and training purposes on various topics
Respond to trading and regulatory inquiries from the KRX and other regulatory bodies. Also, assist in regulatory examinations
Perform compliance monitoring including personal dealing, gifts and benefits and other regulatory required monitoring
Proactively keep Sales and Trading Departments ahead of the changing regulatory environment
Assist in preparation of policies, procedures, guidelines, and training materials on all of the above issues
Develop or revise compliance materials including policies and procedures, flashes, compliance manual and compliance desktop manual
Performs other duties as assigned

Skills and Experience Required

경력 Career

Qualifications

High level understanding of regulatory environments and business products
Deeper knowledge of Korean regulations relating to Korean Cash Equity, F&O, OTC Derivatives business
Good interpersonal skills
Excellent oral and written communication skills in Korean and English
Good analytical, problem solving, and judgmental skills
Ability to analyze issues with new products and regulatory requirements
Quick learner / Team player
Detail oriented and not hesitant to ask questions
Ability to make decisions and respond to issues promptly under pressure
Quick thinker; understand complex transactions and explain compliance issues clearly and concisely
Prepare to take ownership and work independently

JOB APPLY

JOB INFORMATION LIST