Compliance Team Leader; North APAC - Hong Kong

Overview

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.

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.

• 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.

• 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.

Fluency in Mandarin Chinese or Korean (verbal and written).

Apply if you think we’re a good match. We’ll get in…