Officer in Compliance, VP

Permanent contract|Seoul|Legal / Taxation / Compliance

Officer in Compliance, VP

Seoul, Korea Permanent contract Legal / Taxation / Compliance


Your role

  • Assist in setting up and enhancing compliance framework and culture
  • Coordinate with front office and support functions in implementation of new rules and practices
  • Ensure SG Seoul Branch’s compliance with relevant laws and regulations and review and manage internal policies and procedures
  • Conduct AML/Sanction Embargo compliance, regulation update and implement control thereof.  
  • Conduct permanent surveillance monitoring and follow-ups
  • Liaise with regional compliance team for regional/global compliance mandate

Your main responsibilities:

Daily Obligation

  • Advise compliance matters to Front and Back office staffs
  • KYC compliance review and validation on onboarding and periodic review clients
  • Review suspicious transaction alert and reporting thereof
  • Review and respond to relevant regulatory bodies official/unofficial request
  • Execute internal control matters over Seoul Branch

Monthly /Quarterly Obligation

  • Conduct compliance monitoring and desk review
  • Perform transaction monitoring to ensure that any suspicious transaction is identified and escalated to relevant stakeholder
  • Prepare Quarterly AML RBA report to KOFIU
  • Perform monthly Permanent Supervision control and validate as maker/checker
  • Provide internal training for all local staffs to ensure the staffs are aware of the relevant regulations
  • Prepare Quarterly Internal control committee and Financial Crime Committee

Yearly and Occasional obligation

  • Annual review of anti-money laundering procedures
  • Annual self-assessment of money laundering procedures
  • Annual review of internal control standard
  • Annual review of Compliance risk assessment of SG Seoul Branch (COMPASS)
  • Reporting and disclosure of changes of executives to FSS
  • Review, amend and implement internal practices and policies as per new/amended regulations or group-wide policies
  • Conduct credit/personal information protection activity pursuant to relevant information protection legislation
  • Advisory to Business and support functions
  • Training to local and overseas employees
  • Follow up of internal or regulatory audit points
  • Enhance general compliance framework on anti-money laundering controls and monitoring and other Compliance related matters
  • Liaise with regional compliance team for compliance activities conducted across the region
  • Carry out compliance activities as per global/regional requirements

Profile required

Technical skills

  • Knowledge of the financial crime risk framework
  • Knowledge of the relevant regulation such as Banking Act, AML Regulation and Capital Market Act
  • Communication skills; ability to engage with people from various backgrounds (business lines, support functions, compliance officers etc. across the APAC region), ability to write business documentation.
  • IT technical skill, MS office, web browsing and various financial IT applications


Result Orientation

  • Analytical Thinking and Attention to detail
  • Ability to, identify priorities and address difficult situations with autonomy
  • Pro-activity and solution-oriented, proposition-making mindset


  • Good interpersonal skills
  • Team work spirit
  • Negotiation and Leadership skills


Required/Must have:

  • 10+ years of professional experience preferably in Global Financial Institution
  • Previous experience in Compliance
  • Previous experience in a role with authority to make decision (e.g. manager role or advisory role)
  • Experience working in International, Multi-cultural organization


Required/Must have:

  • Fluent and professional writing in Korean
  • Fluent and professional writing in English


  • Educational background in Business, Finance, Law or other relevant field.


  • Certification holder of AML area, AICPA or FRM, CFA

Business insight

Société Générale Group is one of the leading financial services groups in Europe. Société Générale is serving 31 million customers in 67 countries on a worldwide basis.  Based on a diversified and integrated banking model, the Group combines financial strength and proven expertise in innovation with a strategy of sustainable growth, aiming to be the trusted partner for its clients, committed to the positive transformations of society and the economy.

The Asia Business Unit division encompasses activities conducted in the Asia-Pacific region, where Société Générale has a presence of 2,500 employees in 12 different countries, with regional headquarters in Hong Kong. The Asia Business Unit business is focused on Corporate & Investment Banking: Global Markets, Global Financing, and Global Transaction Banking.

Societe Generale in Korea:  With both a Banking and a Securities branch, we strive to be a financial partner of reference to selected clients in our main focus areas: investment banking, global finance and global markets.

We serve our corporate clients by being a trusted advisor on cross border M&A and financing. We also provide tailor made structured financing solutions such as project, export, trade, securitization, media/telecom, aircraft and ship financing to Korean corporates. Our recognized expertise in derivatives allows us to adapt leading-edge solutions to our financial institution and corporate client’s needs.

The Asia-Pacific Compliance division is the Compliance arm of the Asia BU. It has a local presence in Australia, China, Hong Kong, India, Japan, Korea, Singapore and Taiwan. Our primary focus is to support CIB-type of activities (global capital markets & global structured finance) across the region.

The candidate will be a member of the Seoul Branch team.

The team is transversal team that manages all the matters of Compliance for the Seoul Branch e.g. Advisory to the business and support functions, norms for policy and controls, Surveillance, Regulatory relationship.

The candidate will be reporting to the Head of Compliance for the Seoul Branch.

The candidate will get the opportunity to work on multiple aspects on the compliance function such as advising, monitoring, training and conducting surveillance, etc. and develop exposure to the various businesses, as well as interact with senior management.

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Reference: 21000IHV
Entity: Societe Generale Seoul Branch
Starting date: 2021/07/08
Publication date: 2021/06/08