We are seeking a Compliance Manager to support the general Compliance function and Financial Security matter. The candidate will work closely with local regulators, regional compliance teams, and internal stakeholders to ensure adherence to regulatory requirements and internal policies.
Key Responsibilities
1.Regulatory Compliance
- Monitor and analyze regulatory developments issued by Korean regulatory authorities (FSS, FSC, BOK, MOEF).
- Coordinate the dissemination and implementation of new regulatory requirements across relevant departments.
- Manage regulatory requests and submissions through regulatory platforms.
- Support compliance risk assessments and provide compliance-related insights to management committees.
- Prepare reports and escalation materials for Head Office and Regional Compliance teams.
- Develop and deliver compliance training programs for employees.
- Maintain compliance documentation, records, and audit trails.
2. Financial Security- Investigate and process alerts generated through AML monitoring systems.
- Support the reporting of suspicious or unusual transactions to regulatory authorities.
- Conduct AML self-assessments and prepare required regulatory reports.
- Review and maintain KYC documentation and customer due diligence records.
- Provide advisory support to business lines on AML, KYC, and financial crime matters.
- Support the implementation and maintenance of the Bank’s sanctions compliance framework.
3. Capital Market Compliance- Monitor communications between front-office staff and clients to identify potential regulatory or reputational risks.
- Perform periodic surveillance and control reviews to ensure compliance with market conduct requirements.
- Review customer suitability assessments and supporting documentation for transactions requiring compliance approval.
