Compliance Officer – APAC, Tokyo
Posted Sep 20, 2023 - Requisition No. 120106
Bloomberg’s Legal and Compliance 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 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 organization, 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 Compliance advisory professional to join the APAC Compliance team, based in Tokyo. This is a critical role with a broad remit and responsibilities across the region, including leading the compliance program in Japan.
We'll trust you to:
- Assist to implement and maintain the firm’s Compliance Program, including policies and procedures
- 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 electronic trading platforms and products with a focus on Japan regulatory requirements, including handling regulatory reporting, employee regulatory registrations, Compliance related queries, alerts and incidents
- Prepare and deliver Compliance training addressing employee needs and Compliance requirements as well as enhancing employee awareness and knowledge of regulatory requirements and sensitivities
- 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 from regulators including the Japan Financial Services Agency
- Handle customer and third party inquiries, managing regulatory considerations effectively
- Implement appropriate Compliance controls and tools, including working with Compliance technology support and other internal functions to make enhancements and 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
- Represent the Compliance team on global meetings and committees
- Prepare and present periodic reports to management
- Assist in other compliance projects and initiatives relevant to the Compliance team
You'll need to have:
- Fluency in English and Japanese (verbal and written) including strong presentation and communication skills
- Minimum 5 years of relevant Compliance advisory or audit experience, ideally within the financial industry in a business facing role
- Knowledge of financial industry rules and regulations
- Ability to work well in a team with diverse stakeholders and possess strong technical skills to work in a fast pace, technology driven environment
- Strong organizational, analytical and problem-solving skills
- Ability to effectively multi-task and prioritise, quickly issue-spot and apply sound judgment
We'd love to see:
- Experience with financial regulators including the Japan Financial Services Agency, and managing regulatory inquiries, surveys and inspections
- Experience working with key regulators in APAC outside of Japan, e.g., the Monetary Authority of Singapore and the Hong Kong Securities and Futures Commission
- Good understanding of electronic trading platforms and operations
- JSDA Internal Control Manager qualified
- Prior experience developing and conducting training
If this sounds like you:
Apply if you think we're a good match. We'll get in touch to let you know the next steps but in the meantime feel free to browse this: https://www.bloomberg.com/professional/solution/tradebook/
We’re individuals with diverse backgrounds, talents, and experiences who take on big challenges and create even bigger impact through our work. We’re interested in what makes you you, and how we can create opportunities for you to channel your unique, personal energy and grow to your fullest potential.
Learn more about our office and benefits:
Tokyo | www.bloomberg.com/tokyo
Bloomberg is an equal opportunity employer and we value diversity at our company. We do not discriminate on the basis of age, ancestry, color, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or maternity/parental leave, protected veteran status, status as a victim of domestic violence, or any other classification protected by applicable law.
Bloomberg provides reasonable adjustment/accommodation to qualified individuals with disabilities. Please tell us if you require a reasonable adjustment/accommodation to apply for a job or to perform your job. Examples of reasonable adjustment/accommodation include but are not limited to making a change to the application process or work procedures, providing documents in an alternate format, using a sign language interpreter, or using specialized equipment. If you would prefer to discuss this confidentially, please email AMER_recruit@bloomberg.net (Americas), EMEA_recruit@bloomberg.net (Europe, the Middle East and Africa), or APAC_recruit@bloomberg.net (Asia-Pacific), based on the region you are submitting an application for.