Position Description CLSA Korea is looking for permanent staff in Compliance Department Key Areas of Responsibilities Conduct monitoring on various unfair trading, AML related issues, etc Review and/or prepare regulatory reports to FSS, KRX, KOFIA & KOFIU and other management reports Support the compliance head in handling regulatory and internal investigations/audits & department tasks Compile responses to/from regulatory queries/investigations Develop, update & enforce internal policies and procedures in compliance with local regulations Arrange meetings and prepare minutes (e.g. for BOD, etc) Update & maintain employee for the registration as a professional at KOFIA Review the staff dealing related process and collecting documents Deliver targeted compliance training Perform client onboarding – CDD, OCDD & EDD Requirements Bachelor degree holder with minimum 5 years of experience in Securities brokerage industries, Compliance experience is recommended but not required Legal background is preferred Possesses high standards of professional ethics, integrity and takes ownership of the work Knowledge in Korean regulations relating to Capital Market Ability to analyse issues with new products and regulatory requirements Self-motivated, diligent‎, and can work under pressure, and manage deadlines and a number of tasks Have great attention for details and be a good team player Excellent oral and written communication skills in Korean and English Excellent computer skills such as MS Excel, Word & Powerpoint Well rounded, and a team player Stay informed on CITIC CLSA Job Opportunities Not the right fit? You can create a job alert to receive our latest job openings that meet your interest. CITIC Securities International is a wholly owned subsidiary of CITIC Securities and its overseas business platform. Our award-winning research, extensive footprint in Asia, direct links to China and highly experienced finance professionals set us apart within the industry. As part of CITIC Securities (SSE: 600030, SEHK: 6030), China’s leading investment bank, CITIC Securities International is uniquely positioned to facilitate cross-border capital flows and connect China to the world and the world to China. CITIC Securities International operates from 13 countries across Asia, Australia, Europe and the Americas. We offer comprehensives financial solutions to a large and diverse client base that includes global institutional investors, corporations, governments and high-net-worth individuals.

Associate/Manager, Compliance.

more at citicclsa.

Head of Corporate Finance - Indonesia, Investment Banking

Associate Director, Equity Capital Markets, Investment Banking

Dealer/Junior Sales Trader, Trading

similar roles.

Finance Director

Venture Finance Lead

Senior Legal Counsel

Senior Associate Attorney - Insurance Defense Litigation

Insurance Defense Paralegal Remote: New York Based

Accountant - Vendor Funds Accounting