Legal & Compliance, Head of Legal & Compliance, Seoul

Why Mizuho

Within the APAC entities of Mizuho Securities, our greatest asset is our people, and we are committed to promoting a vibrant and supportive environment full of opportunities. Just like our global client and customer base, our people come from diverse backgrounds and our success is supported by our creativity, teamwork, and collective abilities as individuals to exceed the dynamic needs of our customers.

We provide the stability of an international industry leader with the career trajectory of a growing business. Our strategic growth gives our people at all levels rewarding degrees of responsibility and a richer work experience than a boutique firm or an established giant could offer alone. With a focus on growing and expanding our platform across Asia, we are committed to attracting, hiring, retaining, and rewarding the best-in-class talent.

Job Description

Key Responsibilities

• Lead and oversee the Legal and Compliance functions of the Seoul Branch, ensuring adherence to applicable Korean regulations, APAC standards, and internal policies and procedures
• Act as the Responsible Officer (RO) for Compliance related coverage under the Korea Responsibility Map program, the Head of Legal and Compliance, and the designated Money Laundering Reporting Officer (MLRO) of the Seoul Branch
• Manage and maintain the branch’s overall compliance framework, including surveillance, monitoring, and follow-up actions on identified issues
• Provide timely, practical, and consistent compliance advice to internal stakeholders on regulations, policies, products, and business initiatives
• Identify, assess, and implement regulatory changes impacting the business; ensure effective communication and execution across the branch
• Review and assess new products, services, and business initiatives to ensure compliance with regulatory and licensing requirements
• Develop, enhance, and maintain internal policies, procedures, and guidelines in line with regulatory expectations and industry best practices
• Liaise with regulators, handle regulatory inquiries, and coordinate inspections, ensuring strong and transparent regulatory relationships
• Provide legal advice support on matters affecting the branch
• Handle litigation, dispute resolution, and regulatory investigations involving the branch
• Manage and oversee external legal counsel engagements effectively
• Support legal risk management
• Collaborate with APAC and Head Office (Tokyo) teams to support the development and implementation of regional Legal and Compliance strategies and frameworks
• Partner with regional Legal and Compliance teams to ensure alignment of local practices with broader APAC objectives and business needs

Role Prerequisites

• Meet one of the following qualification criteria:

• • Over 10 years of working experience in financial institutions
  • Qualified lawyer or Certified Public Accountant with over 5 years of working experience in financial institutions
  • Master’s degree or above in Finance with at least 5 years’ experience in a research institute or professor in college
  • Over 7 years of working experience in in MoEF, FSC, National Audit Board, FSS, BOK, KDIC or equivalent government bodies with at least 5 years elapsed since leaving the organization

• Proven experience as a senior compliance professional of securities firms supervised by FSS
• Strong knowledge and understanding of the Korean regulatory framework and financial services compliance environment
• Ability to manage regulatory relationships and navigate complex compliance requirements
• Clean background record, with no criminal history or regulatory sanctions