Bank Compliance Trainee

Job description

Department Description The Compliance department is responsible for the following: Ensure all non-compliance risks are identified that the Group complies with all regulatory and supervisory obligations. Assess the impact of regulatory and legal changes on the Group's activities and compliance framework; Define standards and procedures to manage the risk of non-compliance; Provide notice on new products and activities, or material changes to products or activities; Ensure appropriate management of risks of non-compliance through LOD1 and the establishment of appropriate controls, including Level 2 controls.

Identify, assess, and escalate incidents and breaches of compliance; Train employees and promote a culture of compliance in the Group; Advise and inform General Management and the Board of Directors on non-compliance risks. SG Seoul Branch Compliance (CPLE) Establishment and operation of a firm-wide internal control framework to ensure compliance with domestic and international financial regulations and requirements.

Proactive management of key compliance risks

customers protection, integrity of financial markets and ethic and good conduct.

• Assist the team with regulatory requests on businesses and governance, in coordination with different teams
• Manage reporting to the senior management of the entity and to the APAC and Paris office
• Coordinate or execute various controls including Market Surveillance, review on Conflict of Interests, and monitoring of Money Laundering Actively discuss with the regional Compliance teams on various Compliance issues.

SG은행 준법감시부 (CPLE) 전사 비지니스 영역의 국내외 법규 및 윤리 규범 준수를 위해 내부 통제 체계를 구축하고, 선제적 평판 리스크 관리와 모니터링 업무를 담당 국내·외 금융당국의 규제 및 법규 준수를 위한 전사적인 내부통제 체계 구축·운영 고객 보호, 시장 건전성, 윤리경영 등의 주요 컴플라이언스 리스크에 선제적으로 대응 사업분야, 거버넌스 관련 감 독기관 요청에 대한 부서 간 협업 및 자료제출 지원 국내 경영진, 아시아본부 및 프랑스 본사 보고를 위한 보고자료 작성·관리 시장감시, 이해상충, 자금세탁 등에 대한 내부통제 업무 수행 홍콩 소재 APAC 지역 내 컴플라이언스 팀과의 협업 및 논의 현업부서 및 후선부서의 업무와 관련된 국내법규 및 SG그룹 내부 규정에 대한 자문업무의 지원