Join the Compliance team to maintain oversight of the firm’s compliance, conduct and operational risk management activities.

As an Analyst of the Compliance team in Korea, you will play a crucial role in ensuring our business activities meet regulatory requirements and be responsible for conducting trade surveillance across various Lines of Business (LOB). You will have the opportunities to forge professional relationships with various stakeholders and further develop their knowledge on various market products such as Equities and Futures & Options. You will assess compliance risks, provide guidance, and train employees to comply with regulations and policies.

Job responsibilities

• Advise sales and trading on issues related to the Korean Cash Equity, and F&O businesses
• Work closely with the business and other operational areas on the build-out of the Korean Cash Equity, and F&O businesses
• Conduct monitoring and trade surveillance of Cash Equity, F&O, and e-communications
• Prepare and submit regulatory reports
• Track regulatory news and changes to regulations
• Manage regulatory examination and inquiries
• Handle regulatory registrations of key business staff with KOFIA
• Develop or revise compliance materials including policies and procedures, flashes, training presentations, compliance manual, and standard operating procedures

Required qualifications, capabilities, and skills

• General understanding of regulatory environments and business products
• Knowledge of Korean regulations relating to Korean Cash Equity, and F&O businesses
• 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
• Fast learner and be able to understand complex transactions and explain compliance issues clearly and concisely
• Detail oriented and not hesitant to ask questions
• Ability to make decisions and respond to issues promptly under pressure
• Good team player
• Ready to take ownership and work independently