■Providing Compliance advices to the institutional business including the Type1 and 2 Business.
■Responsible for checking and reviewing the Company's important documents including sales material, RFP, SRS and Prospectus, etc. to detect compliance problems and inappropriate description according to business custom under the FIEL,ITM law and JITA and JIAA rules.
■Preparing and filing information/documents to the regulatory agencies(FSA,KLFB,JITA and JIAA)
■Enuring the firm's activities adhere to the requirement by the regulatory agencies, as well as with the firm's internal compliance standards.
■Reporting of the compliance activities to the compliance committee, and the company's group compliance business line.
■Keeping updated the internal regulations and rules with laws, regulations and rules, and establishing new internal guidelines and procedures.
■Planning and conducting Compliance training to employees as well as Compliance team menbers
■Giving necessary instruc