Compliance Team Leader (North APAC) - Hong Kong
Location
Hong Kong
Business Area
Legal, Compliance, and Risk
Ref #
10048450
Description & Requirements
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 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 also recognize the value of 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 and support for 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:
An outstanding Team Leader opportunity has arisen for an experienced Compliance advisory professional with management experience to join the APAC Compliance team. Based in Hong Kong, you will take this critical role leading the North APAC Compliance coverage with a broad remit including support of Bloomberg's electronic trading business. You will have responsibility for leading a strong team of Compliance professionals as well as gowning the regulatory compliance program in Hong Kong.
We'll trust you to:
- 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
- Provide oversight, guidance and support to compliance advisory covering North APAC and trade surveillance team members
- Act as the primary contact for the local regulators and be responsible for managing the relationships
- Represent the Compliance team to participate in, and work with other business and support functions on, major business proposals and regulatory change initiatives
- Provide Compliance advice to the business and support functions to ensure Compliance with regulatory and company requirements and standards
- 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
- Assist in other compliance projects and initiatives relevant to the APAC Compliance team
You'll need to have:
- A minimum of 10 years of relevant compliance experience covering electronic trading and financial markets, particularly in relation to currencies, fixed income, equities, commodities and/or related derivatives
- Experience in regulatory engagement with the Securities and Futures Commission of Hong Kong and the Hong Kong Monetary Authority, including managing regulatory inquiries, surveys, and inspections
- Demonstrated experience in drafting policies, procedures and manuals as well as preparing reports for regulatory bodies and internal management
- Strong understanding of financial regulations
- Proven team leadership experience
- 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 prioritize
- Excellent written and verbal communication skills in English
- Strong presentation and communication skills
We'd love to see:
Fluency in Mandarin Chinese or Korean (verbal and written)
If this sounds like you:
Apply if you think we're a good match. We'll get in touch to let you know what the next steps are, but in the meantime feel free to have a look at this:
Why Bloomberg?
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:
Hong Kong | www.bloomberg.com/hongkong
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.
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