Head of Compliance for Asia Job (Hong Kong, HKG): Job Requisition Number:41573 The Role Bloombergs Asia Compliance team is looking for an experienced Compliance Officer to cover the Tradebook broker/dealer business and Bloomberg LP Compliance matters. The ideal candidate will have Compliance experience at a regulated financial institution, have asset/product knowledge to include equities, fixed income, swaps, options, futures and foreign exchange and be familiar with regulatory rules throughout the Asia/Pacific Rim region and have experience implementing Compliance policies and controls. Responsibilities include: - Ability to identify, assess, monitor and report on material compliance risks - Ability to test internal controls, systems and procedures - Deep understanding of regulatory requirements and ability to devise and implement compliance policies and procedures - Ability to oversee compliance audits and liaise with regulatory bodies in Asia - Ability to manage compliance risk assessment processes to ensure that compliance risks are identified and assessed - Ability to monitor the external regulatory environment to identify changes impacting Bloomberg - Act as a subject matter expert on compliance related matters impacting Bloomberg, including advising management on compliance related risks and controls - Work with cross functional teams to identify, assess, control and monitor compliance related risk - Complete control of self-assessments and implement action plans to address compliance related issue - Continually improve the existing Bloomberg compliance control framework - Ensure compliance policies and procedures remain current and are being followed by staff Requirements - Significant broker dealer compliance experience at a top financial services institution - Ideally to have prior experience with a governmental regulator (MAS, JSDA, FSA, ASIC) - Legal degree - Excellent written and oral communication skills - Proven team leadership experience - Meticulous attention to detail and strong organizational skills - High level of professionalism and outstanding judgment Company Bloomberg, the global business and financial information and news leader, gives influential decision makers a critical edge by connecting them to a dynamic network of information, people and ideas. The companys strength, delivering data, news and analytics through innovative technology, quickly and accurately is at the core of the Bloomberg Professional service, which provides real time financial information to more than 315,000 subscribers globally. Bloombergs enterprise solutions build on the companys core strength, leveraging technology to allow customers to access, integrate, distribute and manage data and information across organizations more efficiently and effectively. Through Bloomberg Law, Bloomberg Government, Bloomberg New Energy Finance and Bloomberg BNA, the company provides data, news and analytics to decision makers in industries beyond finance. And Bloomberg News, delivered through the Bloomberg Professional service, television, radio, mobile, the Internet and three magazines, Bloomberg Businessweek, Bloomberg Markets and Bloomberg Pursuits, covers the world with more than 2,400 news and multimedia professionals at more than 150 bureaus in 73 countries. Headquartered in New York, Bloomberg employs more than 15,000 people in 192 locations around the world.TAWZIF
Posted on: Tue, 15 Jul 2014 08:51:26 +0000
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