Advise sales and trading on issues related to the Korean Cash Equity, and F&O businesses
Work closely with the business and other operational areas on the build-out of the Korean Cash Equity, and F&O businesses
Conduct monitoring and trade surveillance of Cash Equity, F&O, and e-communications
Prepare and submit regulatory reports
Track regulatory news and changes to regulations
Manage regulatory examination and inquiries
Handle regulatory registrations of key business staff with KOFIA
Develop or revise compliance materials including policies and procedures, flashes, training presentations, compliance manual, and standard operating procedures
Required qualifications, capabilities, and skills
General understanding of regulatory environments and business products
Knowledge of Korean regulations relating to Korean Cash Equity, and F&O businesses
Good interpersonal skills
Excellent oral and written communication skills in Korean and English
Good analytical, problem solving, and judgmental skills
Ability to analyze issues with new products and regulatory requirements
Fast learner and be able to understand complex transactions and explain compliance issues clearly and concisely
Detail oriented and not hesitant to ask questions
Ability to make decisions and respond to issues promptly under pressure
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