Senior Regional Compliance Officer - Asia Pacific

Careers at Bloomberg

Hong Kong

Posted Mar 13, 2018 - Requisition No. 63962

The Asia Pacific Bloomberg Compliance team is part of the Global Compliance Department and provides compliance coverage of Bloomberg's regulated entities and products including support for 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 Asia Pacific, an outstanding opportunity has arisen for an experienced Compliance advisory professional to join the Asia Pacific Compliance team. This is a critical role with a broad remit and responsibilities across the region, reporting directly into the Asia Pacific Head of Compliance.

We'll Trust You To:

  • Assist to implement and maintain the Compliance Program, standards and policies across the Asia Pacific 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. 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.
  • Regional Compliance contact on core compliance matters, e.g. privacy, outsourcing, etc.
  • Develop and maintain a Compliance document management system.
  • Implementing 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 Asia Pacific requirements, risks and opportunities.
  • Drive and execute key Compliance initiatives and projects.
  • 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.
  • 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.

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