Vice President, Coverage Advisory, Legal and Compliance
On-siteSeoul, Seoul, South Korea
Job Summary
Provide comprehensive compliance advisory coverage for the Firm's Investment Banking, Global Capital Markets, Institutional Equity, and Fixed Income divisions regarding internal policies, Korean laws, and industry requirements. Act as the primary compliance advisor to bankers, salespersons, and syndicate professionals on day-to-day business activities, including capital raising, equity/debt transactions, and structured products. Partner with Private Side Compliance, Legal, and Control Functions to guide transactions involving material non-public information, information barriers, and conflicts of interest. Articulate standards of conduct, monitor regulatory developments, and implement necessary policy changes. Conduct compliance reviews, testing, and surveillance to assess regulatory adherence, while participating in the review and approval process for new products and complex transactions. Assist in regulatory examinations, inspections, and internal audits, including engagements with Korean regulators such as the Financial Supervisory Service and Korea Exchange. Identify compliance risks, escalate control weaknesses, and develop remediation plans to support the Firm's conduct risk and governance framework.
Required Qualifications
- Minimum 7–10 years of compliance, legal, regulatory, investment banking, capital markets, or securities industry experience
- Strong knowledge of Korean financial regulations, including the Financial Investment Services and Capital Markets Act (FSCMA), KRX rules, KOFIA regulations, short selling regulations, market abuse requirements, disclosure obligations, and conflicts management requirements
- Experience supporting one or more of the following businesses: Investment Banking (M&A, ECM, DCM), Global Capital Markets, Equities Sales & Trading, Fixed Income Sales & Trading, Prime Brokerage and Financing Activities, Structured Products and Derivatives
- Strong understanding of information barrier requirements, MNPI controls, wall-crossing procedures, watch/restricted list processes, conflicts management, and market conduct risks
- Experience handling regulatory inquiries, examinations, investigations, audits, and remediation programs
- Strong analytical, problem-solving, and risk assessment capabilities, with the ability to provide practical business-oriented compliance solutions
- Excellent interpersonal and stakeholder management skills, including the ability to effectively influence senior business management and challenge decision-making where necessary
- Ability to manage multiple priorities simultaneously in a fast-paced and evolving regulatory environment
- Excellent written and verbal communication skills in both Korean and English
- Demonstrated ability to communicate effectively with regulators and external stakeholders
Desired Qualifications
- Prior experience in a global investment bank or international securities firm
- Experience supporting Korea regulatory engagements, thematic reviews, self-inspections, or regulatory remediation projects
- Knowledge of electronic communications surveillance, trade surveillance, and compliance monitoring frameworks
- Familiarity with data analytics, compliance technology solutions, and AI-enabled compliance tools
- Strong proficiency with Microsoft Office Suite (Excel, PowerPoint, Word) and digital collaboration platforms
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