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 legal 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. Diversity and inclusion are essential to our success, and we strive to maintain an environment where our employees are empowered to make an impact. We also recognize the value and importance of giving back to our communities, as evidenced by our award-winning pro bono program.
The Global Compliance team within Bloomberg’s Legal Department provides coverage of Bloomberg’s regulated entities and products, as well as 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. Bloomberg has regulated activities that include regulated trading venues (e.g., U.K. Multilateral Trading Facility, U.S. Swap Execution Facility), a Recognised Market Operator in Singapore, Electronic Trading services, and other regulated offerings globally.
Reporting directly to the APAC Compliance Practices and Financial Crime Lead and functionally to the Global Head of AML/KYC, this is a great opportunity to lead a growing regional Anti-money Laundering (AML), and Know Your Customer (KYC) program. The Global AML team are responsible for ensuring compliance with relevant legal and/or regulatory requirements. The KYC due diligence team are primarily responsible for new client onboarding and ongoing maintenance of existing clients.
As an AML Regional Program Lead, you will oversee the Company’s AML and KYC program for the APAC region, and you would support the KYC Team Leader in executing Singapore and other regional Customer Due Diligence (CDD) procedures, including escalating, and providing advice on, potential issues and cases to the country Compliance Officers in accordance with those procedures. You will oversee the functional management of the AML and KYC programs and provide ongoing support to the business, as well as interface with other operational and front office business functions and partners. The role would also involve close partnership with the Company’s Global Anti-Money Laundering (AML) team as well as local Compliance teams, focused on Bloomberg Tradebook Singapore Pte Ltd (an RMO licensed entity) among other regional and international (e.g., UK, European) entities. You will support the growth of the KYC team and function as it expands to meet and support business requirements of the regulated entities within the Bloomberg group.
In relation to the Singapore regulated entity you will report directly to the Material Risk Personnel (“MRP”), in line with the Monetary Authority of Singapore Individual Accountability and Conduct Guidelines.
You should have a deep understanding of the front-to-back customer due diligence process and be well versed with legal entity types. An ideal candidate would also demonstrate strong competent knowledge of current local Singapore (MAS) and regional regulatory requirements and relevant financial industry knowhow concerning Customer Due Diligence standards.
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