Assistant Compliance Officer
Responsibilities
Position Objective:
- To provide compliance advisory support to Capital Markets Business to ensure that they comply with local regulation and Group compliance policies
- To assist in setting up and enhancing compliance framework and culture.
- To ensure SG Seoul Branch’s compliance with relevant laws and regulations and review and manage internal policies and procedures.
- To liaise with regional compliance team for regional/global compliance mandate
- To review and respond to relevant regulatory bodies official/unofficial request
Daily Obligation:
- Provide interpretation and clarification on local regulation/rules to ensure that the relevant local regulation/rules are implemented to comply with the letter and the spirit of the regulation/rules
- Review and respond to relevant regulatory bodies official/unofficial request
- Execute internal control matters over Seoul Branch
Monthly /Quarterly Obligation:
- Provide ongoing training for local staffs to ensure the staffs are aware of the relevant regulations and internal Compliance policy
- Prepare materials for Compliance related Committees
Yearly and Occasional obligation:
- Annual review of Compliance risk assessment (COMPASS)
- Annual Training to comply with regulatory requirement (e.g. Financial Consumer Protection Act (including door-to-door business))
- Follow up with internal or regulatory audit points
- Provide Compliance input during New Product Committee and Suitability Committee
- Perform annual reviews including: 1) Review of Hedge Limit Management of FX derivatives for MARK in Seoul Branch; and 2) Highly Complex Financial Investment Instruments Review for MARK in Seoul Branch
Profile required
- Have good knowledge in financial laws including Banking Law/Regulation and Capital Market Act
- Able to communicate in English
- Able to adapt to new environment in a short time period and able to work as a team
- Document making skill; MS Word/Excel/PowerPoint, etc.
- (plus, factor) Have worked as Capital Markets Business Compliance Advisory or worked in MARK business or MARK operations
Interested parties please send the below quoting reference to seo-humn@sgcib.com no later than October 31, 2024. Please submit as one file.
- cover letter
- a full resume
- consent form
Business insight
Company Profile:
SG CIB is the Corporate and Investment Banking arm of the Societe Générale Group. Present in over 80 countries across Europe, the Americas and Asia. SG CIB is a reference bank specializing in: Euro Capital Markets, Derivatives and Structured Finance. Combining innovation and quality of execution, SG CIB provides corporates, financial institutions, investors and public-sector clients with value-added integrated financial solutions.
SG in Korea:
SG opened a branch in 1983 through which it offers a full range of debt, advisory and corporate banking services. Dealing with the top local companies, its primary focus is structured financing, as well as market operations - Foreign Exchange or interest rates.