[금융/준법감시] Senior Manager, Equities Compliance

An international financial services company is looking for a Senior Manager, Equities Compliance. The chosen applicant will support the institutional equities business by ensuring regulatory compliance and managing compliance risks.

Responsibilities:

• Provide practical compliance advice to equity sales, trading, research, and other front-office stakeholders
• Interpret and apply Korean securities regulations, KRX market rules, and relevant FSS and KOFIA requirements
• Support the institutional equity brokerage business across cash equities and related securities products
• Advise on market conduct matters, trading controls, conflicts of interest, and other regulatory risks
• Respond to regulatory inquiries, information requests, inspections, and other interactions with Korean regulatory bodies
• Prepare, review, and coordinate regulatory reports, filings, and notifications required of a financial investment firm
• Conduct compliance monitoring and control reviews, including employee personal account dealing and gifts and entertainment
• Support the investigation and escalation of compliance or surveillance matters in collaboration with local and regional control functions
• Maintain and enhance local compliance policies, procedures, and internal controls
• Develop and coordinate compliance training and employee awareness programs
• Work with regional Compliance and Control Room colleagues on cross-border matters and regional initiatives
• Contribute to strengthening the Korea control environment
• Provide compliance support to selected adjacent products or business activities

Requirements:

• 7-12 years of relevant experience within compliance, regulatory risk, monitoring, surveillance or another closely aligned control function in financial services
• Experience working with, advising, or challenging front-office stakeholders within sales, trading, research or another capital-markets environment
• Hands-on exposure to regulatory reporting, filings, regulatory enquiries or compliance monitoring within a securities or financial investment firm
• Strong knowledge of equities or related securities products, gained through cash equities, equity derivatives, warrants, structured products or broader securities-market coverage
• Understanding of Korean securities regulations and market rules administered by KRX, FSS and KOFIA
• Strong communication, stakeholder-management, and problem-solving skills
• Proficient in Korean and English

About the Company:

A global financial services company providing investment banking, asset management, securities, and advisory services. The company specialises in equities research, sales, trading, and capital markets solutions for institutional clients worldwide.

Keywords:

금융 서비스, 투자, 은행업, 컴플라이언스, 글로벌

Job Ref: URYVXZ