APAC Regulatory Examinations and Inquiries Compliance Officer, Hong Kong
Posted Mar 9, 2023 - Requisition No. 114629
Bloomberg’s Legal & Compliance Department plays a critical 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 solve 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 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. We are currently looking for an experienced person to work with our Global Compliance Practices team.
What's The Role?
We’re currently looking for an APAC Regulatory Examinations and Inquiries Compliance Officer. As part of the Compliance Practices team, you will work with Compliance colleagues, as well as key Legal, Risk, and Business partners, in delivering a Compliance Risk Management Program, and contributing to key regulatory initiatives. The role focuses on Managing Regulatory Examinations and Inquiries with a supporting role in the Practices pillars, including Risk Assessments, Control Testing, Issue Management, Policy Management, Training, Regulatory Change – the key Pillars of our Compliance Risk Management Program. The role will also include leading or supporting strategic regulatory projects across multiple businesses, regions, and regulatory topics – which is a unique opportunity for broad exposure across the Company’s businesses and regulatory-related controls.
We'll Trust You To:
Support the Compliance Practices team, the Global Head of Regulatory Inquiries, the Global Head of Compliance Practices, the Global Chief Compliance Officer, each of the Regional Chief Compliance officers, and Bloomberg’s business by:
- Being a global thought-leader and team player on the subject of Compliance Risk Management
- Contributing to various Compliance Practices program pillars, and personally leading APAC Regulatory Examinations and Inquiries
- Presenting directly to senior management on the results of the above efforts
- Leading specific regulatory projects/programs, for example change management efforts to comply with new regulations or regulatory-related control enhancements, as directed by the Global Head of Compliance Practices and the Company’s Chief Compliance Officer, among others
- Minimum 5 years of experience with Compliance, Legal, and/or Risk Management, with experience in regulated financial institutions
- Expertise in Regulatory Inquiries and Exam Management and in Compliance Risk Management, including one or more of the following: Compliance Risk Assessment, Compliance Control Testing, Compliance Training, Regulation Mapping, and/or Issue Management
- Expertise in Project and/or Program Management
- Understanding of regulatory risk management, identifying and measuring inherent risk, evaluating internal control effectiveness, and understanding root cause analysis
- Ability to work in a dynamic environment, building and maintaining a network of contacts, and coordinating with several partners across our company to influence and drive the Compliance Risk Management program forward
- Enthusiastic, self-motivated, and effective under pressure
- The ability to work creatively and efficiently, to assist with building a program that’s deeply practical, risk-focused, and conscious of business and control partners’ needs
- Strong team player skills in order to guide organizational change and collaborate with key partners across various levels
- Strong verbal and written communication skills in English, with an ability to present complex subject matter in a concise and straightforward way
- Demonstrated continues career growth in an organisation
- Experience working for a financial services regulator or self-regulatory organization or consulting firm
- Experience in leading regulatory examinations and inquiries and presenting results to management
- Familiarity with financial markets and products including electronic trading platform and operations
- Experience with data privacy compliance, including subject matter expertise in current / developing privacy rules and regulations, monitoring privacy risk across the business and implementing appropriate data privacy compliance controls and tools.
You’ll Need To Have:
We'd love to see:
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, but in the meantime feel free to have a look at this:
Bloomberg is an equal opportunity employer and we value diversity at our company. We do not discriminate on the basis of age, ancestry, color, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or parental leave, protected veteran status, status as a victim of domestic violence, or any other classification protected by applicable law.
Bloomberg is a disability inclusive employer. Please let us know if you require any reasonable adjustments to be made for the recruitment process. If you would prefer to discuss this confidentially, please email firstname.lastname@example.org.