Compliance - Analyst
On-site · Seoul, Seoul, South Korea
Job Summary
Compliance Analyst in Korea responsible for overseeing regulatory compliance, conduct and operational risk across the business. Responsibilities include advising Sales and Trading on Korean Cash Equity and Futures & Options issues, coordinating build-out of Korean Cash Equity and F&O businesses, conducting monitoring and trade surveillance of Cash Equity, F&O, and e-communications, preparing regulatory reports, tracking regulatory changes, managing regulatory examinations and inquiries, handling KOFIA staff registrations, and developing/completing compliance materials and training. Requires strong regulatory knowledge for Korean Cash Equity and F&O, fluent Korean and English communication, analytical and problem-solving skills, ability to work independently and as part of a team, and the ability to explain complex regulatory requirements clearly.
Required Qualifications
- General understanding of regulatory environments and business products
- Knowledge of Korean regulations relating to Korean Cash Equity, and F&O businesses
- Excellent oral and written communication skills in Korean and English
- Good interpersonal skills
- 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
- Regulatory reporting experience
- Trade surveillance experience
- Experience with e-communications monitoring
- Preparation of regulatory submissions
- Regulatory examinations management
- KOFIA registrations handling
- Development of compliance materials (policies, procedures, training)
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