APAC Compliance Officer

Leadingnation; Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

Bloomberg’s APAC Compliance team in Hong Kong provides regulatory guidance across our products and services, focusing on Data, Research, and Analytics (DR&A). You will coordinate with business stakeholders, drive regulatory compliance, and support electronic trading initiatives in North APAC.

We seek a seasoned adviser with deep financial markets knowledge who can collaborate across teams, draft policies, and lead risk assessment processes.

Qualifications

• Minimum of 5 years of compliance experience in financial markets, data governance, or electronic trading.
• Experience drafting policies, procedures and regulatory reports for authorities or management.
• Strong understanding of financial regulations.
• Ability to work with diverse stakeholders in a fast-paced, tech-driven environment.
• Strong organizational, analytical and problem-solving skills.
• Excellent written and verbal English communication.
• Strong presentation skills with senior stakeholders.
• Mandarin or Korean fluency is a plus.

Responsibilities

• Develop collaborative relationships with regional Directors of Research, Editorial teams, Pricing Sales and Data Analysts covering DR&A areas.
• Advise on regulations for DR&A and data governance, helping implement into workflows.
• Provide compliance coverage for electronic trading services and products, including regulatory reporting and incident handling.
• Represent Compliance in major proposals and regulatory change initiatives.
• Assist to implement and maintain the firm's Compliance program and policies.
• Prepare and deliver Compliance training to enhance awareness.
• Coordinate internal audits and regulatory inspections, including responses to inquiries.
• Implement Compliance controls and tools with technology teams to address gaps.
• Work with second-line risk partners to identify and manage regulatory risks.
• Provide regional updates to Global Compliance Program Managers.
• Assist in other APAC Compliance projects and initiatives.

Skills

Regulatory knowledge

Stakeholder collaboration

Financial data governance

Electronic trading

Regulatory reporting

English communication

Policy drafting

Analytical thinking

Independent multi-tasking

Presentation skills

Mandarin/Korean fluency

Job description

• Strong understanding of financial regulations
• Fluency in Mandarin or Korean
• Develop strong collaborative relationships

Location

Hong Kong

Business Area

Legal, Compliance, and Risk

Ref #

10053525

Description & Requirements

What's the role:

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 compliance with current/developing rules and regulations, and correspond with regulators.

An outstanding new opportunity has arisen for an experienced Compliance advisory professional to join the APAC Compliance team. Based in Hong Kong, you will take this important role with responsibility over a 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'll Trust 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 risk assessments and testing, and dealing with Compliance related queries, alerts and incidents.
• Represent the Compliance team to participate in, and work with other business and support functions on, major business proposals and regulatory change initiatives.
• Assist to implement and maintain the 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.
• Implement appropriate Compliance controls and tools, including working with Compliance technology support and other internal functions to make enhancements and address any gaps identified.
• Work closely with second-line risk partners to identify, manage, and report on Compliance and regulatory risks.
• Provide regional updates to Global Compliance Program Managers.
• Assist in other compliance projects and initiatives relevant to the APAC Compliance team.

You’ll Need To Have

• A minimum of 5 years 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 and possess strong technical skills to work in a fast pace, technology driven environment.
• Strong organizational, analytical and 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.