Jongchul KimMobile: 010-8956-5958

E-mail: sloan11@nate.com

EDUCATION

Feb.1998~ Feb.2005 Sogang University

Double major in Economics and Business Administration

Bachelor degree (Economics , Business Administration), Feb. 2005 (Cumulative GPA 3.5 / 4.5)

Related course work: Accounting, Financial Management, Futures & Options, Econometrics, etc.

WORK EXPERIENCE S

Oct 2013 ~ Nov 2015 Operation Manager, Cash Equity Operations in Nomura Financial Investment Korea.

Operation manager for Cash Equities brokerage

- Daily procedure management and issue follow up with business and related regional office.

- Client / Business query management especially for trade support or Korean market regulation related.

- Stock settlement and failed trading management.

- Standard Operational Procedure set up for each business line including local regulatory reporting

process.

- Tokyo Stock Exchange (TSE) listed stock trading support.

Private Wealth business support

- Individual account set up and trading supporting for TSE (Tokyo Stock Exchange) trade and settlement

- Custody service support for Japanese corporation and local individuals. Ad hoc trading for the Japanese

or Korean stock which are in custody with FX.

- Attending new business forum for Operations department

(Japanese stock trading and settlement process, Custody services, Client on-boarding and account

management, Real estate advisory business)

- Regulatory reporting (FSS, BOK, NTS reporting)

Client On-boarding (KYC) management including individual, general investors for Private Wealth business

- Standard Operational Procedure set up and regular update following regional AML policy.

- New client on-boarding and periodic review process by internal policy and guidelines.

- Internal project for KYC supporting function migration to India team (Dec 2013 ~ Jun 2014).

Risk Control Self-Assessment (RCSA) process set up and maintain for KYC and Cash Equity operations

- Specify work flow for cash equity brokerage including settlement process, Private Wealth business and

KYC procedure.

- Scoring risk rating and management for each work flow by internal guidelines.

- Regular update following by internal guidelines and if necessary.

Audit experience

- Internal audit for Regulatory reporting process in 2014.

- Settlement procedure audit in 2015.

- AML KYC annual internal audit in 2014 and 2015 and external audit by FSS in 2015.

- KRX on-site investigation for short sale in 2014 and 2015.

IB originated business support

- Block deal management for domestic SPC in 2014 and block trading for general investors (individuals) in

2015

Project Management

- KYC procedure set up between Korea and India and global KYC application set up in local. ( Jun 2014 ~

Mar 2015)

Apr.2011~Oct 2013 Operation Manager, Cash Equity Operations & Listed Derivatives in BNP Paribas Securities.

Daily work management for Cash Equity brokerage business

- Trading confirmation and settlement process manage

- Client query / Regional office request management

- Standard Operational Procedure management

Manager role for Listed Derivatives

- Daily BAU management

- Standard Operation Procedure management

- Eurex market process set up with regional team for KOSPI Options (2011)

- Global F&O platform set up project for Korea Market (2011~2013)

OTC Derivatives product control backup role (Jan. 2012 ~ May 2012)

- Daily P/L calculation for local positions and comparing with regional team

Sep.2008~Mar.2011 Staff, Cash Equity Operations in J.P. Morgan Securities Seoul Branch.

Cash Equity Middle Office

- Daily confirmation / Client account set up

- Issue follow up with regional offices including EMEA and NY.

- Client query management

Rights Offering related project from Jan. 2009 to Mar. 2009

- System enhancement: IPO function development for local system

- Internal process set up for middle and settlement team

System enhancement for efficiency

- KOSMOS, PowerBase, SettleNet etc.

IPO for KRX listing : Korea Life Insurance , Mando Corporation

- Working with ECM department and IB for local procedure management

Block deal event management: OCI block deal in 2010 etc.

Cash Equity middle office process migration project from 2009 to 2011

- Middle office process migration from local system to global model

- Leading local project team and regular conference with global project team including Asia Pacific, EMEA

and NA.

- Clients’ trading accounts (including sub accounts) investigation, matching with global database and

cleansing

- Local system development to minimize settlement impact after migration

Jan.2005~Aug. 2008 Junior Staff, KOSPI 200 F&O Operations in J.P. Morgan Securities Seoul Branch.

KOSPI 200 F&O daily process

- Client margin management including collateral process

- Post margin internal process set up

System Enhancement

- System migration (Powerbase) management in 2007

General ledger management for F&O

EXTRA ACTIVITIES

Sep.2004~Dec.2004 Representative, Econometrics Research Group, Sogang University

Studies of relationship between U.S. Stock Exchange and Korean Stock Market

Jan. 2005~2011 Club activity in JP Morgan Securities

- Photo club

- Bicycle club

CERTIFICATION

Jun.2005 Certified Futures Consultant

Jun 2007 Certified Securities Investment Consultant

Aug 2016 Certified Financial Risk Manager

SKILLS

Conversant in English

Proficient in MS Office

Good relationship with each department and regional office

□REFERENCE AVAILABLE UPON REQUEST