Compliance Officer- Data, Financial News and Analytics
New York, NY
Posted Apr 22, 2022 - Requisition No. 102872
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 issues that come with being the world’s leading financial news and Information Company. We work to 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), MIFID II benchmark activities, a U.S. Broker-Dealer, and other regulated offerings globally.
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. 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.
Bloomberg is looking for an experienced professional to join the Americas Compliance team in New York as a Team Leader supporting our products offering financial news and research, data, and certain data analytics. The role will manage a small team based in New York and London with a focus on identifying and assessing compliance and regulatory risks applicable to these products and businesses and, working with the global Compliance team, to provide ongoing support and advisory guidance to the businesses to help mitigate such risks.
The ideal candidate will be a quick learner with a background in financial markets, as well as relevant experience with financial news and research, data, and analytics, or have worked at the U.S. Securities Exchange Commission (“SEC”) or other comparable regulator. In each case, the candidate should have knowledge of investment advisor requirements. Good communication and interpersonal skills are critical, together with the ability to work both independently with minimal supervision and collaboratively as part of a team.
We'll trust you to:
- Strategically provide advisory compliance support to the business in the areas of financial news and research, and the provision of data and data analytics applying a strong knowledge of investment advisor regulations
- Manage a small team providing Compliance support from New York and London to a fast-moving and innovative business
- Prepare and provide training to stakeholders on Compliance and regulatory matters
- Prepare reports for regulatory bodies and internal management as applicable
- Keep abreast of regulatory changes and their potential impact, and advise accordingly
You'll need to have:
- 5-7 years working in the financial services sector including at a securities regulator with exposure to issues related to data, investment advisors and data analytics
- Familiarity with, or understanding of, issues related to managing regulatory risks associated with research and news including personal trading, communications and controls related to confidential information under U.S., U.K. and/or EU regulations
- The ability to assess, interpret and provide pragmatic guidance on issues relative a suite of business products offered as information for the purposes of making investment decisions
- Prior experience managing and coaching a team and advising senior business people on compliance matters
- Excellent written and verbal communication skills, and strong attention to detail, specifically in drafting policies, procedures, manuals, and reports for senior management
- Demonstrated ability to address multiple priorities in an extremely fast-paced environment
- Willingness to roll up your sleeves and help out even when it’s not in your job description
We'd love to see:
- JD Degree
- Experience of identifying and managing risk
- Familiarity with ESG-related trends and issues
- Familiarity with SEC (or other regulator) rules, interpretative guidance and directives relating to the provision of alternative data including helping to ensure that it is obtained and distributed consistent with applicable law
- Familiarity with SEC and U.K. FCA-related rules regarding investment advisors
- Familiarity with recordkeeping obligations of broker-dealers and investment advisors
Does this sound 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.
Bloomberg is committed to diversity! It drives our innovation. At Bloomberg, you'll have the opportunity to go above and beyond and to take risks. You'll be a part of an organization that is entering new markets, launching new ventures, and pushing boundaries. Our ever-expanding array of technology, data, news, and media services champions innovation and empowers clients -- and offers nearly limitless opportunities for career growth.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We bring out the best in each other.