[금융/준법감시] Compliance Manager

A foreign technology company is searching for a Compliance Manager. The chosen applicant will ensure the company complies with Korean laws and regulations, maintain effective compliance programs, and oversee AML/CFT and sanctions initiatives.

Responsibilities:

• Assist in managing compliance with all applicable Korean laws and regulations
• Develop and maintain compliance policies and procedures that align with local requirements and global standards
• Conduct daily trade surveillance in accordance with KRX rules and internal standards
• Assist in enhancing surveillance tools and automating compliance monitoring processes
• Perform periodic compliance reviews to test adherence to internal policies and regulatory requirements; prepare findings and reports for management
• Serve as the primary point of contact for AML/CFT and sanctions compliance matters in Korea
• Oversee AML and sanctions screening processes, including name screening, transaction monitoring, and alert management
• Maintain and periodically review the AML/CFT framework, ensuring its effectiveness and compliance with relevant local and global standards
• Deliver AML and sanctions training for new and existing employees
• Promote a strong compliance culture by raising awareness of regulatory developments and best practices
• Develop and deliver compliance training for new hires and existing employees across relevant areas (e.g., market conduct, AML, sanctions, information barriers)
• Prepare and submit regulatory filings and reports as required
• Support internal and external audits, inspections, and information requests
• Maintain organised documentation, records, and audit trails related to compliance activities
• Conduct or support research and investigations related to compliance initiatives or ad-hoc projects

Requirements:

• Bachelor’s degree or above in finance, business, law, or a related field
• More than 5 years of experience (or 3 years with KICPA or an attorney qualification) in compliance or internal audit roles within financial services, preferably in a trading environment
• Strong knowledge of Korean financial regulations, KRX rules and AML/CFT laws
• Experience managing regulatory inquiries, audits, and inspections
• Excellent analytical, problem-solving, and communication skills
• Proficient in MS Office
• Fluent level written and verbal Korean and English

Preferred Requirements:

• Familiarity with Python or SQL
• Knowledge of proprietary trading and market-making business models

About the Company:

A global leader in test and measurement solutions. The company provides advanced measurement systems, software, and engineering support to industries such as automotive, aerospace, and energy, leveraging the expertise of its international parent company.

Keywords:

규정 준수, 규정, 법률, 감사, 글로벌

Job Ref: QM8Q48