Compliance Officer - Tokyo

Careers at Bloomberg


Posted Jan 22, 2018 - Requisition No. 62021

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 Compliance Officer to join the APAC Compliance team based in Tokyo who will be responsible, in part, for supporting the implementation and management of the compliance program for the regulated businesses in Japan. Additional responsibilities will include supporting regional Compliance initiatives.

We'll Trust You To:

  • Assist Bloomberg Tradebook and the businesses under Bloomberg L.P. by providing consultation and input on control matters consistent with JSDA and JFSA requirements
  • Assist in implementing changes to the compliance program, including the Compliance Manual, regulatory documentation and related policies/procedures
  • Assist in the preparing of periodic reports that are required to be submitted to management or relevant regulatory bodies
  • Ensure local regulatory authorisations are up-to-date, including employee regulatory registrations
  • Work closely with the business, regional Compliance and Legal teams, providing guidance on Japan requirements
  • Handle corporate secretarial matters
  • Assist with resolving trading issues, incidents and client inquiries
  • Conduct Compliance monitoring and testing
  • Conduct Compliance risk assessments, including client onboarding and classification
  • Prepare training material and conduct employee training

You'll Need To Have:

  • Min 2 years’ Compliance experience in the financial industry with broad knowledge of financial concepts
  • Excellent communication and interpersonal skills
  • Fluency in English and Japanese (verbal and written)
  • Comfortable working with technology and able to understand its development and application
  • Ability to quickly issue-spot and apply sound judgment
  • Strong organisational and analytical skills
  • Ability to work well in a dynamic environment and handle a number of different tasks at once to completion

We’d Love To See:

  • JSDA Internal Control Manager qualified
  • JD/Law degree
  • Understanding of one or more of the following asset classes: Swaps, FX derivatives, Equity derivatives and Commodity derivatives

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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