Bank Compliance Trainee

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