Compliance Officer- APAC

Careers at Bloomberg


Posted Sep 19, 2017 - Requisition No. 62138

Compliance Officer - APAC

The APAC Bloomberg 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 ideally based in Singapore, however Hong Kong or Sydney will be considered for the right candidate. You will be responsible for maintaining the Compliance Program across APAC with a focus on Bloomberg’s regulated businesses, including providing Compliance support for Singapore. You will report to the APAC Head of Compliance.

We'll Trust You To:- Maintain the compliance program, including ensuring that Compliance manuals, policies and procedures are up-to-date, compliance documentation is properly aligned with relevant regulatory conditions, guidelines, codes and ordinances, as well as company policies and codes of conduct.

  • Assist the APAC businesses by providing timely advice and input on compliance and regulatory requirements, e.g. regulated trading platforms. Includes providing guidance on resolving trading alerts and incidents.
  • Manage responses to regulatory inquiries and surveys.
  • Deal with customer and third party inquiries, managing regulatory considerations effectively.
  • Monitor regulatory change and impact on businesses across the APAC region.
  • Ensure that management is keep up-to-date of these developments.
  • Prepare and present periodic reports to management.
  • Implementing appropriate compliance controls and tools, including working with - Compliance technology support to address gaps (as appropriate).
  • Raise and maintain compliance awareness among employees by developing and providing them with relevant information, resources and continuous education.
  • Collaborate with regional compliance and legal teams, including 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:- At least 8 years of Compliance experience in a regulated financial institution, ideally in a business-facing role.

  • Degree holder, preferably in Law or in a business-related discipline.
  • Good understanding of fixed income products and electronic trading platforms.
  • Experience in liaising with securities regulators, drafting regulatory applications, and managing regulatory inquiries, surveys and inspections.
  • Excellent oral and written communication skills.
  • Strong organisational and analytical skills, problem solving ability and attention to detail.
  • Team player with excellent communication and interpersonal skills. Experience dealing with stakeholders at all levels.
  • Ability to quickly issue-spot and apply sound judgment.

We'd Love To See:

  • Experience working with key regulators in APAC, e.g. MAS, ASIC, JFSA, 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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