Compliance Advisory-Temporary Compliance Fixed term contract Seoul, Korea Reference 24000 PNL Start date 2025/11/07 Publication date 2024/10/25 Responsibilities Position Objective: To provide compliance advisory support to Capital Markets Business to ensure that they comply with local regulation and Group compliance policies To assist in setting up and enhancing compliance framework and culture.

To ensure SG Seoul Branch’s compliance with relevant laws and regulations and review and manage internal policies and procedures.

To liaise with regional compliance team for regional/global compliance mandate To review and respond to relevant regulatory bodies official/unofficial request Daily Obligation: Provide interpretation and clarification on local regulation/rules to ensure that the relevant local regulation/rules are implemented to comply with the letter and the spirit of the regulation/rules Review and respond to relevant regulatory bodies official/unofficial request Execute internal control matters over Seoul Branch Monthly /Quarterly Obligation: Provide ongoing training for local staffs to ensure the staffs are aware of the relevant regulations and internal Compliance policy Prepare materials for Compliance related Committees Yearly and Occasional obligation: Annual review of Compliance risk assessment (COMPASS) Annual Training to comply with regulatory requirement ( Financial Consumer Protection Act (including door-to-door business)) Follow up with internal or regulatory audit points Provide Compliance input during New Product Committee and Suitability Committee Perform annual reviews including: 1) Review of Hedge Limit Management of FX derivatives for MARK in Seoul Branch; and 2) Highly Complex Financial Investment Instruments Review for MARK in Seoul Branch Profile required Have good knowledge in financial laws including Banking Law/Regulation and Capital Market Act Able to communicate in English Able to adapt to new environment in a short time period and able to work as a team Document making skill; MS Word/Excel/Power Point, etc.

(plus, factor) Have worked as Capital Markets Business Compliance Advisory or worked in MARK business or MARK operations cover letter a full resume consent form