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Compliance VP
외국계 유명 증권사
임원급 영어
서울
◈ 직무 개요
- Provide compliance advice on regulatory matters
- Provide compliance support to various firm-wide initiatives/projects
- Handle regulatory inquiries, examinations and audits
- Establish/update compliance policies and procedures in accordance with regulatory requirements and firm policy
- Advise business / corporate functions on changes in rules and regulations which affect their business /operations and provide guidance on necessary follow-up actions
- Handle periodic or ad hoc regulatory submission
- Handle compliance monitoring and desk reviews
- Provide induction and other compliance training
- Investigate incidents and assess regulatory/compliance impact
 
◈ 경력 요건
- University level degree preferably in a relevant discipline (Finance, Accounting, Business, Legal)
- Over 10 years of working experience in financial institutions and minimum 5 years of working experience in compliance department
- Familiar with local laws and regulations related to equity businesses. Knowledge on fixed income, OTC derivatives business, Investment Banking or Research is a plus.
- Experience in conducting monitoring, surveillance and desk reviews
- Experience in handling queries from and dealing with regulatory bodies
- Confident and organized team player• Able to act decisively and independently
- Excellent communication skills in spoken and written English

◈ 처우
- Negotiable

◈ 제출 기한
- ASAP

◈ 제출 서류 및 기타
- 영문 이력서

◈ 담당 컨설턴트
- 김용진 / 02-2016-6687 / yjkim@vpeople.co.kr