About the job
Join Our Audit Team
- Our audit team plays a crucial role in identifying and enhancing enterprise risks. We assess internal control systems and collaborate with various departments to drive tangible improvements.
- Guided by our motto, “Audit proactively like a vaccine, and protect as a shield until the end,” we approach our auditing tasks with a commitment to identify risks early and take responsibility for outcomes.
- As the regulatory environment in the securities industry becomes increasingly complex with the launch of new products, proactive risk assessments and collaboration with colleagues are vital to ensuring comprehensive control integrity across the business.
Your Responsibilities
- Conduct in-depth audits related to regulatory compliance frameworks and internal control design following new license acquisitions (consulting/trading).
- Lead reviews of regulatory compliance and control appropriateness throughout the entire process of new product and service launches (including planning, development, and operations).
- Analyze the Financial Supervisory Service's sanctions database and financial consumer protection issues to incorporate them into audit items, deriving proactive prevention measures.
- Provide expertise and review monitoring rules developed in collaboration with RegTech specialists from the perspective of securities regulations and product controls.
- Manage the quality of regulatory and product-related documentation during inspections by supervisory agencies, supporting effective responses.
We Are Looking For
- A candidate with over 10 years of experience in compliance, auditing, or risk management within financial investment companies or related organizations.
- A deep understanding of core securities regulations, including the Capital Markets Act, Financial Consumer Protection Act, and investor protection regulations, along with strong interpretive skills.
- Experience in reviewing regulatory compliance or control design/operations for new financial products or services throughout their entire launch process.
- Ability to diplomatically mediate conflicts with audit target departments and provide logical feedback centered on improvement rather than criticism.
- Experience participating in the development of RegTech or data-driven regulatory monitoring systems, providing regulatory/business perspective expertise is a plus.
- Possession of professional auditing certifications (CISA, CIA, etc.) or legal/accounting qualifications related to regulation is an advantage.
Resume Tips
- Detail specific cases where you identified proactive regulatory risks during new license acquisition or product launch processes and led them to substantial control improvements, focusing on applicable laws and control items.
- If you have worked with IT specialists such as RegTech/DA auditors to incorporate regulatory control elements into IT systems or designed data monitoring rules, please emphasize this experience.
- Highlight your role and key achievements in preparing materials related to regulatory interpretation and product processes if you have experience responding to supervisory agency inspections.
- Emphasize fact-based examples of logical mediation and consensus-building among stakeholders (business departments) during internal control improvement processes.
Application Process at Toss Securities
- Application submission > Job interview > Cultural fit interview > Reference check > Compensation negotiation > Final acceptance and onboarding
- A phone interview may be conducted if necessary.
Please Note
- Any false information found in the resume or disciplinary records during employment history may lead to cancellation of the recruitment process.
- Individuals who are prohibited from hiring according to Toss Securities' internal regulations or have disqualifying reasons may have their applications canceled.
- Individuals with disabilities and those eligible for national veterans' benefits are given preference in accordance with relevant laws.
A Message for Future Colleagues
- The audit team at Toss Securities aims not just to point out issues but to drive substantial improvements and proactive risk responses, fostering a culture of continuous enhancement.
