- Drive and execute the mapping of licensed entity regulatory obligations to internal risk(s), policy(s), and procedure(s) and control(s)
- Presenting directly to management on the results of the above efforts
- Lead, plan and execute specific regulatory mapping exercises for licensed entities, partnering closely with licensed entity compliance officers, risk managers and legal. Ensure the final and approved "reg maps" are systematically uploaded and maintained in Bloomberg's EGRC system and that any resulting outcomes are tracked accordingly
- Support the BaU regulatory mapping maintenance framework. Monitor for trigger events, assess and drive changes to the reg maps. Once completed ensure Bloomberg's EGRC system, is updated
- Support other areas of the Global Compliance Risk Management Program, for example risk assessments, as directed by the Global Head of Compliance Practices and the Company's Chief Compliance Officer, among others
- Minimum 5 years experience with Compliance, Legal, and/or Risk Management, with experience in regulated financial institutions or with a reputable consulting firm
- Expertise in Regulatory Mapping and in Compliance Risk Management with proven experience in interpreting regulatory requirements, identifying, and consolidating obligations, translating them into actionable components, performing gap assessments against current state and recommending enhancements and/or remediation actions to ensure compliance
- Strong English verbal and written communication skills, with an ability to present complex subject matter in a concise and straightforward way
- Understanding of regulatory risk management, identifying, and measuring inherent risk, evaluating internal control effectiveness, and understanding root cause analysis
- Ability to work in a dynamic environment, building and maintaining a network of contacts, and coordinating with several partners across our company to influence and drive the Compliance Risk Management Program forward
- Enthusiastic, self-motivated, proactive, and effective under pressure
- Strong team player skills with the ability to guide organizational change and collaborate with key partners across various levels
- Experience working for a financial services regulator or self-regulatory organization or consulting firm
- Experience in leading regulatory mapping exercises at a financial institution across multiple jurisdictions
- Familiarity with financial markets and products including electronic trading platform and operations
- Experience in Project and/or Program Management
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Compliance Officer - Hong Kong, 香港 - Bloomberg
描述
Compliance Officer - Regulatory Mapping, Hong Kong (6 month contract)
Hong Kong
Posted Apr 29, Requisition No
Bloomberg's Legal & 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 of 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 diversity and inclusion and the importance of giving back to our communities as evidenced by our award-winning pro bono program.
The Global Compliance team provides coverage of Bloomberg's regulated entities and products, including support for Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. We are currently looking for an experienced person to work with our Global Compliance Practices team.
What's The Role?
As a Compliance Officer on our Compliance Practices team, you will work with Compliance colleagues, as well as key Legal, Risk, and Business partners, in delivering a Compliance Risk Management Program, and contributing to key regulatory initiatives. This role focuses on mapping the applicable Laws, Rules and Regulations to compliance risks, policies and procedures and controls. This mapping will cover several regulated entities across APAC, EMEA and the Americas.
It will impact and compliment a number of our other key Compliance Risk Management Program Practices pillars including: Risk Assessments, Control Testing, Issue Management, Policy Management, Training, Regulatory Change.
We'll Trust You To:
Support the Compliance Practices Regulatory Mapping team, the Global Head of Compliance Practices, the Global Chief Compliance Officer, each of the Regional and Licensed Entity Chief Compliance officers, and Bloomberg's business by:
You'll Need To Have:
We'd love to see
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:
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.
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