Senior Compliance Officer - Tokyo

Careers at Bloomberg


Posted Sep 22, 2017 - Requisition No. 62209

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?

The Compliance team in Tokyo is expanding so we are seeking a Senior Compliance Officer to join the team. You will be responsible for providing compliance coverage for Japan 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:

  • Act as the lead Japan Compliance Officer and Internal Control Manager (JSDA).
  • Advise Bloomberg Tradebook and the businesses under Bloomberg L.P. on JFSA and JSDA requirements.
  • Implement changes to the compliance program, including the Compliance Manual, regulatory documentation and related policies/procedures.
  • Ensure that periodic reports are submitted to management and regulatory bodies.
  • Ensure local regulatory authorisations are up-to-date, including employee regulatory registrations.
  • Resolve trading issues, incidents and client inquiries.
  • Handle regulatory inquiries and inspections, including internal audits.
  • Conduct Compliance risk assessments, including client onboarding and classification.
  • Conduct Compliance monitoring and testing.
  • Prepare training plans and material. Conduct employee training.
  • Maintain and develop relationships with regulatory authorities, industry bodies, external vendors and consultants, as required.
  • Oversee changes in local regulation, including advising on those changes and directing the appropriate areas to implement, amending policies and procedures or controls to address.
  • Work closely with the business, regional Compliance and Legal teams, providing guidance on Japan requirements.

You'll need to have:

  • At least 8 years of Compliance experience in a regulated financial institution, ideally in Japan and in a business-facing role.
  • Business related university degree and/or professional legal or finance qualification.
  • JSDA Internal Control Manager qualified.
  • 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.
  • Fluency in English and Japanese (verbal and written).
  • 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.
  • Ability to quickly issue-spot and apply sound judgment.
  • Excellent time and project management skills.
  • Comfortable working with technology and able to understand its development and application.

We'd love to see:

  • Strong existing relationships with the regulatory authorities in Japan.

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 opportunities employer and value diversity at our company. We do not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

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