|Created Date||21-05-03 21:41|
1 Trainee (12 months programme) for Compliance Department within SOCIETE GENERALE CORPORATE & INVESTMENT BANKING (“SG CIB”) SG Securities Korea. This program is expected to commence as early as possible.
Monthly Salary is 2,500,000(KRW)
SG CIB is the Corporate and Investment Banking arm of the Societe Generale Group. Present in over 80 countries across Europe, the Americas and Asia. SG CIB is a reference bank specialising in: Euro Capital Markets, Derivatives and Structured Finance. Combining innovation and quality of execution, SG CIB provides corporates, financial institutions, investors and public sector clients with value-added integrated financial solutions.
SG in Korea
SG opened a branch in 1983 through which it offers a full range of debt, advisory and corporate banking services. Dealing with the top local companies, its primary focus is structured financing, as well as market operations - Foreign Exchange or interest rates.
- Rec/send any public notices from FSS via CPC&EDES (Communications portal)
- Update the Trouble Tracker for any developments or issues (ad-hoc)
- Monitoring unfair training alerts via Powerbase and take follow-up actions
- Check TMS via Powerbase for any alerts as part of AML review.
Monthly /Quarterly Obligation
- Submit Financial Business Report to the FSS in liaison with DFIN (M, Q, Y)
- Submit Risk Analysis and Management System (RAMs) report to FSS in liaison with RISK (M)
- Communication surveillance on all communication routes and report to APAC Compliance (M)
- Reporting of registered record of investor complaints to KOFIA (Q)
- Reporting of quarterly results on unfair trading to KRX (Q)
- Reporting results of action for requests to take preventive measures on unfair trading to KRX (Q)
- Submit Short-sell followup report to KRX (M)
- Carry out Permanent Supervision (PS) Controls for Korea Sec Compliance via GPS (M, Q, Y)
- Prepare the 3RC KPI ahead of the monthly meeting for SGSK. (M)
- Manage the 3RP sharepoint for SGSK and update whenever necessary.
- Manage individual business licenses registered in KOFIA and update whenever there’s a change (add/delete) in liaison with HR, and report changes to APAC Compliance (M)
- Inform eligible staff on the KOFIA license refresher training and make sure all completes the requirements within due time. (Y)
- Dispute and litigation status report to KRX and KOFIA (Q)
- Submit Public Notices to KOFIA on major business changes for SGSK (Q, Y, ad-hoc)
Yearly and Occasional obligation
- Support compliance training for staff (regulatory, compliance and AML)
- To liaise with other members in the region’s compliance community on business activities conducted across different countries
- Carrying out other compliance related duties
- Undergraduate degree in business, finance, economics, law or related discipline
- Excellent verbal, written, and interpersonal communication skills
- Strong analytical skills with high attention to detail and accuracy
- Ability to prioritize work, meet deadlines, achieve goals, and work effectively under pressure in a dynamic and complex professional environment with many time-sensitive deliverables
- Ability to develop and manage business relationships
Interested parties, please send the below quoting reference: email@example.com no later than 07 May 2021.
- CV & Cover letter
- Consent form
Note: Please update the Subject Line of your email as “Trainee_Securities_CPLE_ASI”.