Assistant Compliance Officer
Societe Generale
Legal
Posted on Oct 25, 2024
Responsibilities
Position Objective:
- To provide compliance advisory support to Capital Markets Business to ensure that they comply with local regulation and Group compliance policies
- To assist in setting up and enhancing compliance framework and culture.
- To ensure SG Seoul Branch’s compliance with relevant laws and regulations and review and manage internal policies and procedures.
- To liaise with regional compliance team for regional/global compliance mandate
- To review and respond to relevant regulatory bodies official/unofficial request
Daily Obligation:
- Provide interpretation and clarification on local regulation/rules to ensure that the relevant local regulation/rules are implemented to comply with the letter and the spirit of the regulation/rules
- Review and respond to relevant regulatory bodies official/unofficial request
- Execute internal control matters over Seoul Branch
Monthly /Quarterly Obligation:
- Provide ongoing training for local staffs to ensure the staffs are aware of the relevant regulations and internal Compliance policy
- Prepare materials for Compliance related Committees
Yearly and Occasional obligation:
- Annual review of Compliance risk assessment (COMPASS)
- Annual Training to comply with regulatory requirement (e.g. Financial Consumer Protection Act (including door-to-door business))
- Follow up with internal or regulatory audit points
- Provide Compliance input during New Product Committee and Suitability Committee
- Perform annual reviews including: 1) Review of Hedge Limit Management of FX derivatives for MARK in Seoul Branch; and 2) Highly Complex Financial Investment Instruments Review for MARK in Seoul Branch