Deputy Chief Compliance Officer - APAC
Posted Dec 19, 2017 - Requisition No. 63962
Bloomberg’s Legal 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 legal 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 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 Asia Pacific (APAC) Bloomberg Compliance team is part of the Global Compliance Department and provides compliance coverage of Bloomberg's regulated entities and products including Bloomberg's non-regulated products and services. 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.
What's The Role?
As part of Bloomberg’s Compliance team expanding its coverage in APAC, an outstanding new opportunity has arisen for an experienced Compliance advisory professional to join the APAC Compliance team. This is a critical role with a broad remit and responsibilities across the region, reporting directly into the APAC Chief Compliance Officer.
We'll Trust You To:
- Assist to implement and maintain the Compliance Program, standards and policies across the APAC region.
- To monitor, track and communicate major proposals and trends on regulatory change and enforcement, including impact analysis. Advise management and key stakeholders on risks and opportunities in this area.
- Provide Compliance coverage of the firm’s regulated and electronic trading platforms and products. Includes monitoring system development, alerts and incidents.
- Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements. Develop and deliver Compliance training and resources which enhances employee awareness and knowledge.
- Provide Compliance advice to the business and support groups to ensure Compliance with regulatory and company requirements and standards.
- Coordinate internal audits and regulatory inspections, including responses to regulatory inquiries and surveys.
- Handle customer and third party inquiries, managing regulatory considerations effectively.
- Assist with the design and oversight of the Compliance document management system.
- Implement appropriate compliance controls and tools, including working with Compliance technology support to address any gaps identified.
- Collaborate with regional compliance and legal teams, including operations, risk and engineering teams to implement Compliance policies and procedures. Provide input on APAC requirements, risks and opportunities.
- Drive and execute key Compliance initiatives and projects.
- Represent the Compliance team on global meetings and committees.
- Prepare and present periodic reports to management.
You'll Need To Have:
- Degree holder, preferably in Law or in a business-related discipline.
- At least 8 years of relevant Compliance experience in a regulated financial institution, ideally in a business facing role. Strong knowledge of financial industry rules and regulations.
- Good understanding of fixed income products.
- Experience in liaising with securities regulators and managing regulatory inquiries, surveys and inspections.
- Prior experience developing and conducting training is strongly preferred
- Excellent oral and written communication skills.
- Strong organizational, analytical and problem solving skills.
- Ability to effectively multi-task and prioritise.
- Ability to quickly issue-spot and apply sound judgment.
- Experience dealing with stakeholders at all levels.
We'd Love To See:
- Experience working with key regulators in APAC, e.g. MAS, ASIC, HKSFC.
- Good understanding of electronic 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 opportunity employer and we value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.