Chief Compliance Officer - Korea Securities Branch
- Primary representative of Compliance Matters as the FSS registered compliance officer under the Act on Corporate Governance of Financial Companies.
- Establish, coordinate and provide guidance for all Internal Control Systems including the implementation of Internal Control Standard (ICS).
- You will be the principal contact for regulators in respect of regulatory matters and work with the GC in managing regulatory enquiries.
- Provide strategy, direction and advice with respect to all compliance matters including the operation of overall Compliance Systems including compliance programs and monitoring systems.
- Support the branch CEO, the Management and Control Committee, and business management ("Management") in championing compliance values and standards.
- Work closely with the region Product Compliance and Control Room.
- Advise on new business initiatives and cross border businesses from offshore entities.
- Provide compliance training and education on regulatory changes.
- Contribute to a positive team and business culture.
- An opportunity to work as part of a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm's D&I ambition which is an integral part of our global Conduct and Ethics Standards.
- You have a proven 10+ years of experience in the financial services industry with hands on experience in regulatory correspondence/communication.
- You have deep knowledge of the Korea regulatory framework/securities market rules and regulations and familiarity with the financial services industry
- You understand the value of diversity in the workplace and are dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work. This should be further elaborated on in your application.