•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 taks.
•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

•Knowledge in Korean regulations relating to Capital Market
•Ability to analyse issues with new products and regulatory requirements
•Self-motivated, diligent, work under pressure, manage deadlines and multitask
•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