Compliance Officer- Monitoring and Control

Careers at Bloomberg

Hong Kong

Posted Dec 19, 2017 - Requisition No. 63961

The Bloomberg APAC Compliance team is part of the Global Bloomberg Compliance Department and provides compliance coverage of Bloomberg's regulated entities and products including support for Bloomberg's non-regulated products and services. The Compliance Department works closely with the Legal Department to address regulatory issues, ensure compliance with current/developing rules and regulations, and corresponding with regulators.

What’s the role?

Bloomberg’s APAC Compliance team is looking for an experienced Compliance Officer to join the team based in Singapore or Hong Kong. You will be responsible for implementing the compliance monitoring program for a variety of regulated businesses within the APAC region. In addition, you will provide support on matters related to financial crimes, bribery and corruption prevention. You will report to the APAC Head of Compliance.

We'll trust you to:

  • Execute and maintain the APAC Compliance Monitoring Program (CMP).
  • Conduct monitoring and testing in accordance with the CMP, including any associated controls and their effectiveness.
  • Conduct targeted risk assessments on a regular scheduled basis.
  • Identifies legal, compliance and reputational risks, including the potential impact.
  • Identify potential enhancement in processes and systems and assist with the implementing change to address gaps.
  • Undertake investigations into any risks, suspicious transactions or complaints.
  • Provide Compliance advisory support on Financial Crimes and Bribery and - Corruption matters impacting APAC. Includes gifts and entertainment.
  • Track, report and present on findings and risk identified.
  • Develop and maintain the Compliance policies & procedures.
  • Raise and maintain compliance awareness among employees by developing and providing them with relevant information, resources and continuous education.
  • Support and work closely with regional Compliance Officers covering the - Monitoring and Anti-Bribery and Anti-Corruption functions, including business operations, risk and engineering teams. Provide input on APAC requirements and risks.
  • Take up ad hoc assignments from time to time as directed by the APAC Head of Compliance.

You'll need to have:

  • Minimum 5 years of Compliance experience in a regulated financial institution, with a focus on Compliance monitoring, testing, audit or investigations.
  • Degree holder, preferably in Law or in a business-related discipline.
  • Strong monitoring, control and/or testing skills.
  • Strong organisational and analytical skills, problem solving ability and attention to detail.
  • Be flexible and adopt a hands on approach.
  • Self-motivated, team player with excellent communication and interpersonal skills. Experience dealing with stakeholders at all levels.

We'd love to see:

  • Good understanding of financial crime, bribery and corruption prevention requirements in APAC.
  • Familiarity with financial markets and products, including trading platforms and operations.
  • A desire to be part of a team in a dynamic and fast-paced organisation.

If that sounds like you:

Apply! If we think you're a good match, we'll get in touch with you to let you know next steps.

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.

Similar jobs