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
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Skills and Experience Required
- Çз Education
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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
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