Compliance Officer - SINGAPORE

Careers at Bloomberg


Posted Sep 19, 2017 - Requisition No. 62138

The APAC Bloomberg Compliance Department 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 correspond with regulators.

What's The Role?

We are seeking a Senior Compliance Officer to join the Compliance team based in Singapore, who will be responsible for providing compliance coverage for Singapore and across the APAC region with a focus on Bloomberg’s regulated businesses. You will report into the APAC Head of Compliance.

We'll Trust You To:

  • Provide advice on brokerage, electronic trading and securities compliance matters. Includes advising on trading issues, alerts and incidents, as well as customer and third party inquiries.
  • Manage regulatory applications, regulatory inquiries and surveys, inspections and other communications with regulators.
  • Provide timely advice on regulatory, policy and control requirements in relation to electronic trading products, systems/platforms and the business.
  • Assist in maintaining the compliance program, including the Compliance Manual, documentation and related policies/procedures. Ensuring compliance policies are properly aligned with relevant regulatory guidelines, codes, and ordinances.
  • Assist with monitoring regulatory change in the APAC region.
  • Conduct Compliance risk assessments and Compliance testing.
  • Prepare periodic reports for management or relevant regulatory bodies.
  • Addressing compliance system controls including working with Compliance technology support.
  • Enhance and deliver compliance training programs.
  • Collaborate with regional compliance and legal teams.
  • Provide other ad-hoc support to 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.
  • Business related university degree and/or professional legal or finance qualification.
  • Good understanding of one or more of the following asset classes: Equities, Swaps, FX derivatives, Equity derivatives and Commodity derivatives.
  • Experience in handling regulatory applications, inquiries, inspections and/or other regulatory matters.
  • Strong organizational 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.
  • Comfortable working with technology and able to understand its development and application.
  • Ability to quickly issue-spot and apply sound judgment.
  • Excellent time and project management skills.

We'd Love To See:

  • Good understanding of brokerage and/or electronic trading systems and processes.

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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