CITIC CLSA

Asia-focused capital markets and investment group

Associate/Manager - Compliance

Regulatory Compliance & EthicsConfirmed live in the last 24 hours

Full-timeSeoul, South KoreaNo salary listedIn-person

About the Job

Requirements

A bachelor's degree is required.
At least 5 years of experience in the securities brokerage industry is required; compliance experience is recommended but not required.
Knowledge of Korean regulations relating to the capital market is required.
Ability to analyze issues involving new products and regulatory requirements is required.
Excellent oral and written communication skills in Korean and English are required.
Strong computer skills, including Microsoft Excel, Word, and PowerPoint, are required.
Professional ethics, integrity, ownership, diligence, attention to detail, and the ability to work under pressure, manage deadlines and multiple tasks are expected.

Responsibilities

Monitor various unfair trading and anti-money laundering issues.
Review and/or prepare regulatory reports for the Financial Supervisory Service, Korea Exchange, Korea Financial Investment Association, Korea Financial Intelligence Unit, and other management reports.
Support the compliance head in handling regulatory and internal investigations, audits, and department tasks.
Compile responses to and from regulatory queries and investigations.
Develop, update, and enforce internal policies and procedures in compliance with local regulations.
Arrange meetings and prepare minutes, including for the Board of Directors.
Update and maintain employee registrations as professionals with the Korea Financial Investment Association.
Review staff dealing-related processes and collect documents.
Deliver targeted compliance training.
Perform client onboarding, including customer due diligence, ongoing customer due diligence, and enhanced due diligence.

Desired Qualifications

A legal background is preferred.

Position Description

CLSA Korea is looking for permanent staff in Compliance Department

Key Areas of Responsibilities

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 tasks
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

Requirements

Bachelor degree holder with minimum 5 years of experience in Securities brokerage industries, Compliance experience is recommended but not required
Legal background is preferred
Possesses high standards of professional ethics, integrity and takes ownership of the work
Knowledge in Korean regulations relating to Capital Market
Ability to analyse issues with new products and regulatory requirements
Self-motivated, diligent‎, and can work under pressure, and manage deadlines and a number of tasks
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
Well rounded, and a team player

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About the Company

CITIC CLSA

Asia-focused capital markets and investment group

CITIC CLSA provides capital markets and investment services in Asia and beyond, supporting global institutional investors, corporations, governments, and high-net-worth individuals. The company uses its award-winning research, extensive Asia network, and direct links to China to help clients access and invest in Asian markets. Its team operates across 13 countries in Asia, Australia, Europe, and the Americas, combining local knowledge with international reach. This mix helps clients execute deals, conduct in-depth market analysis, and grow their investment portfolios through China and Asia-focused opportunities. What sets CITIC CLSA apart is its deep regional network and China connections, which contrast with broader global banks and smaller regional firms. The goal is to enable clients to grow by leveraging Asia’s markets and China’s opportunities through expert advisory, research, and execution across the globe.

Company size: 1,001-5,000
Company stage: Not listed
Total funding: $834.9M
Headquarters: Central and Western District, Hong Kong
Founded: 1986

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