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상세요강
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[담당업무]
Description
Direct Responsibilities
▪ Financial Security/KYC Correspondent
- Direct contribution to Group/Local project subject to FS/KYC by dealing with regional/external regulatory(FSS and KOFIU) request and report
-Analyze long-term vulnerability for increasing BNP Paribas Securities Korea’s AML risk. Particularly, deal with the request from group/regional office as an emphasis to identify inherent risk and control environment weakness related to AML, KYC, and Sanctions, such as drafting highlights on Financial Security Annual risk assessment as part of Group Compliance Risk Management
- Review STR alerts as a part of level 3 Compliance review, update KYC risk scoring model and draft the KOFIU regulatory report such as RBA risk assessment and AML performance evaluation
▪ Professional Ethics Correspondent
- Handle breaches of PE policies in accordance with APAC guidelines and/or local procedures
- Perform training and ensure sensitization of PE topics
- Closely liaise with APAC PE&I team to ensure consistent approach in handling PE matters within the context of local regulatory requirements
- Timely share or provide PE related policies, procedures, trends, dashboards, statistics and other intelligence with APAC PE&I, as and when required
▪ Procedure Manager
- Review internal procedures and update them in an appropriate/timely manner upon any establishment/revision of applicable local law/group policies or recertification cycle, circulate them to the employees concerned, and provide the induction training to the new joiner.
- As a procedure manager, responsible to ensure Compliance procedure management has been implemented for their perimeter according to the roles and responsibilities of a procedure manager defined in Appendix 1 of Compliance Procedure Management (CCC0016EN).
- Keep a record of all group procedures applicable locally and make all applicable procedures accessible to the employees.
▪ Contribute to Group Projects and Support Business & Functions
- Contribute to the Regional teams and support on various compliance projects and remediation exercises.
- Work closely with MI, FS, PE, PIC domains and general advisory teams to implement/ensure compliance with all applicable group domain policies and procedures in Korea Securities.
- Liaise with business lines or functions to provide compliance advice and to implement compliance controls.
. Cope with the internal audit or external regulatory requests/inspections and the regulator ad hoc
- Prepare for the upcoming regulator’s on-site inspection and respond to the regulatory requests or inspection.
- Deal with internal audit-related issues and take a follow-up action on the audit result.
▪ Conduct and assist with general compliance tasks
- Liaise with overseas Compliance teams on regulatory/Compliance issues and for local deployment of new applications and technological enhancements
▪ Delegation Process (Back-up during the designated officer’s leave or block leave)
- Senior manager to back up team members(Head & Junior)
- WB(Whistle Blowing) referent (Back-up)
- COI(Hector) declarant (Back-up)
[자격요건]
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Qualifications
▪ Technical
- Languages: Native in Korean, Fluent in English
- Computer: Microsoft Office - Expert skills in Microsoft Office Suite (Excel, PowerPoint, Word)
▪ Behavioral
- Risk Management
Detects, analyses and measures risks relating to staffs, clients, entities, and activities in the company and marketplace from Compliance perspective and be able to see the consequences including in a long-term setting and also reduce them.
- Self-Control and adaptability
React calmly and confidently in difficult situations so as to continue to give the best effort to Compliance. Also, change the behavior taking into account the constraints and benefits in changing circumstances.
- Teamwork: Work effectively in a team and communicate effectively with team members
- Adaptability: ability to recognize the need for change and maintain effectiveness in varying environment
• 4년제 대졸이상
영어능통
관련경력 7년이상
[전형절차]
서류전형/ 면접전형
[제출서류]
워드파일 영문 이력서
이메일 접수 ysm@promatch.co.kr
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