APAC Compliance Officer

Bloomberg L P; Hong Kong; On-site; HKD 1,000,000 - 1,600,000; Full time

Job summary

Bloomberg L.P. in Hong Kong is seeking an experienced Compliance adviser to lead APAC initiatives for Data, Research and Analytics and to support Bloomberg's electronic trading business in North APAC.

You will work closely with business stakeholders to provide regulatory advice and enable compliant operations across DR&A products and services. The role requires a strong background in financial markets and technology, with the ability to partner with global Compliance and Risk teams to manage

Qualifications

• Minimum of 5 years of compliance experience in financial markets and data governance.
• Experience drafting policies, procedures and regulatory reports.
• Strong understanding of financial regulations and regulatory expectations.
• Ability to collaborate with diverse stakeholders in a fast-paced tech-enabled environment.
• Excellent written and verbal English communication skills; Mandarin or Korean a plus.

Responsibilities

• Develop strong relationships with regional Directors of Research, Editorial teams, Pricing Sales and Data Analysts for DR&A product areas.
• Advise on regulations, standards and company requirements related to DR&A, including data governance.
• Provide compliance coverage for electronic trading services and products; assist with regulatory reporting and risk assessments.
• Participate in major proposals and regulatory change initiatives with business and support functions.
• Assist in implementing and maintaining Bloomberg's Compliance program, policies and procedures.
• Prepare and deliver compliance training and raise awareness of regulatory requirements.
• Coordinate internal audits and regulatory inspections and respond to inquiries.
• Work with Compliance technology and other teams to enhance controls and address gaps.
• Collaborate with second-line risk partners to identify, manage and report regulatory risks.
• Provide regional updates to Global Compliance Program Managers.

Skills

Regulatory compliance

Data governance

Financial markets

Electronic trading

Policy drafting

Stakeholder management

Job description

The APAC Compliance team within Bloomberg’s Legal & Compliance Department provides coverage across Bloomberg’s products and services, including regulated entities, as well as non-regulated offerings. We work to address regulatory issues, ensure compliancewith current/developing rules and regulations, and correspond with regulators.

An outstanding new opportunity has arisen for an experiencedCompliance advisory professionalto join the APAC Compliance team. Based in Hong Kong, you will take this important rolewith responsibility overa broad remit, including establishing yourself as the key regional compliance lead for initiatives regarding Data, Research, and Analytics (“DR&A”), as well as supporting Bloomberg's electronic trading business in North APAC. The role will involve close partnership with business stakeholders to provide compliance and regulatory advice and guidance in relation to these products and services, as well as working with the global Compliance and Risk teams to identify and manage relevant risks within these businesses. You will need to be a quick learner with a background in financial markets and technology.

We'lltrust you to:

• Develop strong collaborative relationships with regional Directors of Research, Editorial teams, Pricing Sales and Data Analysts that cover DR&A product areas.
• Advise on the application of regulations, standards and company requirements as they relate to DR&A, including emerging areas relating to regional data governance, and supporting business and Risk teams to implement into operational processes and workflows.
• Provide Compliance advisory coverage of the firm’s electronic trading services and products, including providing advice, handling regulatory reporting, coordinating riskassessmentsand testing, and dealing with Compliance related queries,alertsand incidents.
• Represent the Compliance team toparticipatein, and work with other business and support functions on, major business proposals and regulatory change initiatives.
• Assistto implement andmaintainthe firm’s Compliance program, including policies and procedures.
• Prepare and deliver Compliance training addressing employee needs and Compliance requirements as well as enhancing employee awareness and knowledge of regulatory requirements and sensitivities.
• Coordinate internal audits and regulatory inspections, including responses to regulatory inquiries and surveys.
• Implementappropriate Compliancecontrols and tools, including working with Compliance technology support and other internal functions to make enhancements and address any gapsidentified.
• Work closely with second-line risk partners toidentify, manage, and report on Compliance and regulatory risks.
• Provide regional updates to Global Compliance Program Managers.
• Assistin other compliance projects and initiatives relevant to the APAC Compliance team.

You’llneed to have:

• A minimum of 5years of relevant compliance experience covering financial markets, data governance, research, pricing products, and/or electronic trading.
• Demonstrated experience in drafting policies, procedures and manuals as well as preparing reports for regulatory bodies and/or internal management.
• Strong understanding of financial regulations.
• Ability to work well in a team with diverse stakeholders andpossessstrong technical skills to work in a fast pace, technology driven environment.
• Strong organizational,analyticaland problem-solving skills.
• Ability to effectively work independently, multi-task and prioritize.
• Excellent written and verbal communication skills in English.
• Strong presentation and communication skills, including with senior stakeholders.

We’d love to see:

• Fluency in Mandarin or Korean.