Compliance Advisory-Temporary

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

• 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 November 15, 2024. Please submit as one file.

• cover letter
• a full resume
• consent form

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. We are offering a 6-9 months contract for Compliance Advisory.