Overview

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.

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