Vice President, Coverage Advisory, Legal and Compliance

Primary Responsibilities • Provide comprehensive compliance advisory coverage for the Firm's Investment Banking Division (IBD), Global Capital Markets (GCM), Institutional Equity Division (IED), and Fixed Income Division (FID) businesses with respect to applicable internal policies and procedures, as well as relevant Korean laws, regulations, exchange rules, and industry requirements. • Act as the primary compliance advisor to bankers, salespersons, traders, syndicate professionals, and capital markets professionals in relation to day-to-day business activities, including investment banking, capital raising, equity and debt capital markets transactions, sales and trading, research-related matters, financing activities, derivatives, and structured transactions. • Provide advisory support for public and private offerings of equity and debt securities, block trades, accelerated transactions, IPOs, rights offerings, structured products, derivative transactions, and other strategic or capital markets activities. • Partner closely with Private Side Compliance, Legal, Control Functions, and business stakeholders to provide compliance guidance on transactions involving material non-public information (MNPI), information barriers, conflicts of interest, market conduct, and regulatory obligations. • Articulate, promote, and maintain the standards of conduct required under applicable laws, regulations, and Firm policies governing the covered businesses. • Monitor regulatory developments and emerging enforcement trends impacting investment banking, capital markets, equities, and fixed income businesses, and implement changes to policies, procedures, and controls as necessary. • Develop and deliver compliance training, awareness programs, and regulatory updates to relevant business units and management. • Conduct compliance reviews, testing, surveillance, and monitoring activities designed to assess regulatory and policy compliance across the covered businesses. • Participate in the review and approval process for new products, new business initiatives, complex transactions, and significant regulatory matters. • Assist in regulatory examinations, inspections, inquiries, and internal audits, including engagement with Korean regulators such as the Financial Supervisory Service (FSS), Financial Services Commission (FSC), Korea Exchange (KRX), and Korea Financial Investment Association (KOFIA). • Identify, assess, and escalate compliance risks and control weaknesses, and work with business units and support functions to develop and implement effective remediation plans. • Support the Firm's conduct risk, risk management, and governance framework by providing practical and risk-based compliance solutions to the business. ________________________________________ Skills Required (Essential) • Minimum 7–10 years of compliance, legal, regulatory, investment banking, capital markets, or securities industry experience. • Strong knowledge of Korean financial regulations, including the Financial Investment Services and Capital Markets Act (FSCMA), KRX rules, KOFIA regulations, short selling regulations, market abuse requirements, disclosure obligations, and conflicts management requirements. • Experience supporting one or more of the following businesses: o Investment Banking (M&A, ECM, DCM) o Global Capital Markets o Equities Sales & Trading o Fixed Income Sales & Trading o Prime Brokerage and Financing Activities o Structured Products and Derivatives • Strong understanding of information barrier requirements, MNPI controls, wall-crossing procedures, watch/restricted list processes, conflicts management, and market conduct risks. • Experience handling regulatory inquiries, examinations, investigations, audits, and remediation programs. • Strong analytical, problem-solving, and risk assessment capabilities, with the ability to provide practical business-oriented compliance solutions. • Excellent interpersonal and stakeholder management skills, including the ability to effectively influence senior business management and challenge decision-making where necessary. • Ability to manage multiple priorities simultaneously in a fast-paced and evolving regulatory environment. • Excellent written and verbal communication skills in both Korean and English. • Demonstrated ability to communicate effectively with regulators and external stakeholders. ________________________________________ Skills Desired • Prior experience in a global investment bank or international securities firm. • Experience supporting Korea regulatory engagements, thematic reviews, self-inspections, or regulatory remediation projects. • Knowledge of electronic communications surveillance, trade surveillance, and compliance monitoring frameworks. • Familiarity with data analytics, compliance technology solutions, and AI-enabled compliance tools. • Strong proficiency in Microsoft Office Suite (Excel, PowerPoint, Word) and digital collaboration platforms. 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