Global Banking & Market, Regional Compliance, Senior Analyst/Associate, Seoul
공고 요약
담당업무
Sales·Trading 사업의 일상 업무 준법 지원
거래 감시 및 프로그램 기반 컴플라이언스 검토
신규 입사자 대상 정기 준법 교육
규제 보고서 및 경영관리 보고서 작성·제출
정책 및 절차 유지·관리
규제기관 질의·검사와 내부 조사·감사 대응 지원
Responsibilities Map 프레임워크 유지 지원
자격요건
금융업계 분석 및 판단 역량
압박 상황에서 실행 관리 및 리스크 식별 능력
효과적인 커뮤니케이션 및 프로젝트 관리 역량
적극적으로 위험을 파악하고 해결책을 제안하는 역량
한국 증권 규정과 상장증권·파생상품 거래소 규정 이해
한국어 및 영어 능통
접수방법
기업 사이트에서 지원
마감기한
상시채용
GoldmanSachs(골드만삭스) 지원하기 전 이력서 Check
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공고 원문
소개
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries.
주요업무
• Provide coverage for the sales/trading businesses in their day to day business operations • Conduct various trade surveillances and programmatic reviews • Conduct regular compliance training for new hires • Preparing and filing regulatory reports and other management reports • Maintenance of policies and procedures • Support senior compliance management in handling regulatory inquiries/inspections and other internal investigations/audits • Support the maintenance of the Responsibilities Map framework
자격요건
• Minimum of 3 years experiences in financial industry • Strong analytical skills and ability to exercise judgment and manage execution under pressure • Effective communication and project management skills • Inquisitive and proactive in identifying risks and proposing solutions • Working knowledge in Korea securities regulations, exchange rules on listed securities and derivatives • Fluency in both Korean and English
우대사항
• Control function experience covering Equities sales and trading in the Korea market preferable
혜택 및 복지
• Collaborative work spaces and ergonomic services • Wellbeing and resilience offerings • Training and development opportunities and firmwide networks • Benefits, wellness and personal finance offerings and mindfulness programs
