Compliance Officer

The Compliance Officer at IMC Korea manages regulatory risks for equity market-making activities. This role involves ensuring compliance with Korean laws, developing policies, conducting daily trade surveillance, and serving as the Money Laundering Reporting Officer. The officer will also promote a strong compliance culture through training and handle regulatory reporting, contributing to a fast-paced, collaborative global organization.

Must Have

• Assist in managing compliance with all applicable Korean laws and regulations.
• Develop and maintain compliance policies and procedures.
• Conduct daily trade surveillance in accordance with KRX rules and internal standards.
• Serve as the primary point of contact for AML/CFT and sanctions compliance matters in Korea.
• Oversee IMC Korea’s AML and sanctions screening processes.
• Maintain and periodically review the AML/CFT framework.
• Deliver AML and sanctions training for new and existing employees.
• Promote a strong compliance culture across IMC Korea.
• Prepare and submit regulatory filings and reports as required.
• Support internal and external audits, inspections, and information requests.
• Maintain organized documentation, records, and audit trails related to compliance activities.
• Conduct or support research and investigations related to compliance initiatives or ad-hoc projects.
• Minimum 5 years’ experience (or 3 years with KICPA or attorney qualification) in compliance or internal audit roles within financial services.
• Strong knowledge of Korean financial regulations, KRX rules and AML/CFT laws.
• Fluent in Korean and English (spoken and written).
• Experience managing regulatory inquiries, audits, and inspections.
• Excellent analytical, problem-solving, and communication skills.
• Strong attention to detail and ability to work independently in a small team.
• High proficiency in Microsoft Office.

Good to Have

• Familiarity with Python or SQL is an advantage.
• Knowledge of proprietary trading and market-making business models preferred.

IMC Korea Compliance team works closely with our Trading and Technology teams to manage the regulatory risks of our equity market-making activities in Korea. As a Compliance Officer, you’ll play a key role in safeguarding the business while enabling smart, innovative trading in a fast-paced, collaborative environment. This role offers broad exposure to regulatory oversight, trade surveillance, AML/CTF, and compliance operations, giving you the opportunity to make a tangible impact and grow your expertise within a dynamic global organization.

Your Core Responsibilities:

• Regulatory Compliance & Oversight
• Assist in managing compliance with all applicable Korean laws and regulations
• Develop and maintain compliance policies and procedures that align with local requirements and global standards.

• Surveillance & Monitoring
• Conduct daily trade surveillance in accordance with KRX rules and internal standards.
• Assist in enhancing surveillance tools and automating compliance monitoring processes.
• Perform periodic compliance reviews to test adherence to internal policies and regulatory requirements; prepare findings and reports for management.

• Money Laundering Reporting Officer Responsibilities
• Serve as the primary point of contact for AML/CFT and sanctions compliance matters in Korea.
• Oversee AML and sanctions screening processes, including name screening, transaction monitoring, and alert management.
• Maintain and periodically review the AML/CFT framework, ensuring its effectiveness and compliance with relevant local and global standards.
• Deliver AML and sanctions training for new and existing employees.

• Training & Compliance Culture
• Promote a strong compliance culture across Korea by raising awareness of regulatory developments and best practices.
• Develop and deliver compliance training for new hires and existing employees across relevant areas (e.g., market conduct, AML, sanctions, information barriers).

• Regulatory reporting & Compliance Operations
• Prepare and submit regulatory filings and reports as required.
• Support internal and external audits, inspections, and information requests.
• Maintain organized documentation, records, and audit trails related to compliance activities.
• Conduct or support research and investigations related to compliance initiatives or ad-hoc projects.

Your Skills and Experience:

• Bachelor’s degree in finance, Business, Law, or a related field.
• Must have minimum 5 years’ experience (or 3 years with KICPA or attorney qualification) in compliance or internal audit roles within financial services, preferably in a trading environment.
• Strong knowledge of Korean financial regulations, KRX rules and AML/CFT laws.
• Fluent in Korean and English (spoken and written).
• Experience managing regulatory inquiries, audits, and inspections.
• Excellent analytical, problem-solving, and communication skills.
• Strong attention to detail and ability to work independently in a small team.
• High proficiency in Microsoft Office; familiarity with Python or SQL is an advantage.
• Knowledge of proprietary trading and market-making business models preferred.
• Fluency in English and Korean is a requirement.