What’s The Role?
We are seeking a Senior Compliance Officer to join the Compliance team based in Singapore, who will be responsible for providing compliance coverage for Singapore 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:
- Provide advice on brokerage, electronic trading and securities compliance matters. Includes advising on trading issues, alerts and incidents, as well as customer and third party inquiries.
- Manage regulatory applications, regulatory inquiries and surveys, inspections and other communications with regulators.
- Provide timely advice on regulatory, policy and control requirements in relation to electronic trading products, systems/platforms and the business.
- Assist in maintaining the compliance program, including the Compliance Manual, documentation and related policies/procedures. Ensuring compliance policies are properly aligned with relevant regulatory guidelines, codes, and ordinances.
- Assist with monitoring regulatory change in the APAC region.
- Conduct Compliance risk assessments and Compliance testing.
- Prepare periodic reports for management or relevant regulatory bodies.
- Addressing compliance system controls including working with Compliance technology support.
- Enhance and deliver compliance training programs.
- Collaborate with regional compliance and legal teams.
- Provide other ad-hoc support to the APAC Head of Compliance.
You’ll Need To Have:
- At least 8 years of Compliance experience in a regulated financial institution, ideally in a business-facing role.
- Business related university degree and/or professional legal or finance qualification.
- 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.
- 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.
- Comfortable working with technology and able to understand its development and application.
- Ability to quickly issue-spot and apply sound judgment.
- Excellent time and project management skills.