Trainee - Compliance Associate

 Korea       Trainee        Legal / Taxation / Compliance

Responsibilities

Daily Obligation

  • Rec/send any public notices from FSS via CPC&EDES (Communications portal)
  • Update the Trouble Tracker for any developments or issues (ad-hoc)
  • Monitoring unfair training alerts via Powerbase and take follow-up actions
  • Check TMS via Powerbase for any alerts as part of AML review.

Monthly /Quarterly Obligation

  • Submit Financial Business Report to the FSS in liaison with DFIN (M, Q, Y)
  • Submit Risk Analysis and Management System (RAMs) report to FSS in liaison with RISK (M)
  • Communication surveillance on all communication routes and report to APAC Compliance (M)
  • Reporting of registered record of investor complaints to KOFIA (Q)
  • Reporting of quarterly results on unfair trading to KRX (Q)
  • Reporting results of action for requests to take preventive measures on unfair trading to KRX (Q)
  • Submit Short-sell followup report to KRX (M)
  • Carry out Permanent Supervision (PS) Controls for Korea Sec Compliance via GPS (M, Q, Y)
  • Prepare the 3RC KPI ahead of the monthly meeting for SGSK. (M)
  • Manage the 3RP sharepoint for SGSK and update whenever necessary.
  • Manage individual business licenses registered in KOFIA and update whenever there’s a change (add/delete) in liaison with HR, and report changes to APAC Compliance (M)
  • Inform eligible staff on the KOFIA license refresher training and make sure all completes the requirements within due time. (Y)
  • Dispute and litigation status report to KRX and KOFIA (Q)
  • Submit Public Notices to KOFIA on major business changes for SGSK (Q, Y, ad-hoc)

Yearly and Occasional obligation

  • Support compliance training for staff (regulatory, compliance and AML)
  • To liaise with other members in the region’s compliance community on business activities conducted across different countries
  • Carrying out other compliance related duties

Profile Required

  • Undergraduate degree in business, finance, economics, law or related discipline
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to prioritize work, meet deadlines, achieve goals, and work effectively under pressure in a dynamic and complex professional environment with many time-sensitive deliverables
  • Ability to develop and manage business relationships

Business Insight

Societe Generale is one of the leading financial services groups in Europe. Present in over 50 countries across Europe, the Americas and Asia. Societe Generale provides corporate, financial institutions, investors and public sector clients with value-added integrated financial solutions.


Position Objective

  • To monitor Business activities
  • To support Compliance activities

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.

Job code: 20000GX4
Business unit: SG Securities Korea Co., Ltd
Starting date: 24/08/2020
Date of publication: 24/07/2020
Share on

Trainee - Compliance Associate

Trainee   |   Korea   |   Legal / Taxation / Compliance