APAC Compliance Officer – Electronic Trading & Trade Surveillance
Posted Dec 4, 2019 - Requisition No. 80052
Bloomberg’s Legal Department plays a meaningful role in supporting our businesses and operations around the world. We move quickly and thoughtfully to help address a variety of complex issues that come with being the world’s leading financial news and information company. Our team is made of up of talented and hardworking professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and tackle difficult problems. We also recognize the value of diversity and inclusion and the importance of giving back to our communities as evidenced by our award-winning pro bono program.
The Global Compliance team within Bloomberg’s Legal Department provides coverage of Bloomberg's regulated entities and products including support for Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. As part of the Legal and Compliance organisation, the Compliance team ensures that Bloomberg’s activities and its employees adhere to applicable regulations and standards.
Bloomberg’s Compliance team is growing its coverage in Asia Pacific, an opportunity has arisen for an expert Compliance professional with electronic trading compliance and trade surveillance experience to join the team based in Hong Kong, apart from taking the lead in APAC trade surveillance, you will also participate other project across in the region. You will be responsible for:
- Implementation and day-to-day operation of Bloomberg’s trade surveillance programme to detect client trading activities that may violate market operating rules and applicable laws and regulations.
- Analysing suspicious trade activities, bringing up unacceptable behaviours to management as appropriate and working collaboratively with internal partners and regulators to address areas of concern.
- Continual improvement of trade surveillance tools by creating and improving surveillance logic and enthusiastically addressing potential issues, including liaising with trade surveillance teams in other regions as well as other internal and external partners.
- Assisting with the compliance coverage across the region (which may include electronic trading solutions offered in India, China, Malaysia and/or Indonesia), including balancing regulatory reporting and advising on regulatory enquiries.
- Assisting in other compliance projects and initiatives relevant to the Asia Pacific Compliance team.
You'll need to have:
- A Bachelor’s degree in Accounting, Business Administration, Economics, Finance or Law or equivalent.
- At least 5 years of relevant Compliance experience in a regulated financial institution.
- Some familiarity with trading activity surveillance, including the underlying logic and how to disposition alerts.
- Relevant experience in covering electronic trading and financial markets in relation to currencies, fixed income, commodities and related derivatives preferred.
- Experience in communicating with regulators and/or in supporting responses to regulatory enquiries.
- Experience in drafting policies, procedures and manuals as well as preparing reports for regulatory bodies and internal management.
- Understanding of financial markets regulations in one or more South East Asia countries would be advantageous.
- Ability to work well in a team with strong analytical skills to solve complex problems and streamline processes.
If this sounds like you:
Apply if you think we're a good match. We'll get in touch to let you know what the next steps are.
Bloomberg is an equal opportunities employer and value diversity at our company. We do not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.