Associate/Manager, Compliance
citicclsa· 1022 CLSA Securities Korea Limited
About this role
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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Frequently Asked Questions
Is the salary disclosed for the Associate/Manager, Compliance position at citicclsa?
The salary for this Associate/Manager, Compliance role at citicclsa is not publicly listed. Click "Apply Now" to learn more about the compensation package on their official careers page.
Where is the Associate/Manager, Compliance position at citicclsa located?
This Associate/Manager, Compliance role at citicclsa is based in Seoul. The position is listed as on-site or hybrid. Check the full job description or apply directly to confirm the work arrangement.
Is the Associate/Manager, Compliance role at citicclsa full-time or part-time?
This is listed as a Full time position. It is posted as a Associate/Manager, Compliance role in the 1022 CLSA Securities Korea Limited department at citicclsa.
Which team or department does the Associate/Manager, Compliance at citicclsa belong to?
This Associate/Manager, Compliance position is part of the 1022 CLSA Securities Korea Limited department at citicclsa. See the full job description for more information about the team structure and responsibilities.
How do I apply for the Associate/Manager, Compliance position at citicclsa?
Click the "Apply Now" button on this page. You will be redirected to citicclsa's official application portal hosted on workday where you can submit your application directly.
When was the Associate/Manager, Compliance job at citicclsa posted?
This Associate/Manager, Compliance position at citicclsa was posted on Aug 10, 2026. Apply as soon as possible — early applications are often reviewed first.
Associate/Manager, Compliance
citicclsa
You'll be redirected to citicclsa's official application page on Workday.