Compliance Officer - BSEF, BSTP , Terminal Products / USA
New York, NY
Posted Sep 13, 2017 - Requisition No. 62032
The Global Bloomberg Compliance Department provides compliance coverage of Bloomberg's regulated entities and products including support for Bloomberg's non-regulated products and services. We work closely with our Legal Department to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators.
What's The Role?
We are seeking a Compliance Officer who will be responsible, in part, for supporting the implementation and management of the overall compliance program for a CFTC regulated Bloomberg Swap Execution Facility ("BSEF").
Additional responsibilities will include supporting Bloomberg's regulated central matching service, Bloomberg STP ("BSTP"), as well as Bloomberg Terminal products.
You will report into the BSEF Senior Compliance Officer and will assist in developing and maintaining a robust BSEF Compliance Program designed to ensure compliance with all applicable regulatory requirements including those implemented under Title VII of Dodd-Frank.
We'll Trust You To:
Assist with the ongoing development and implementation of policies and procedures to ensure that they are reasonably designed to achieve compliance with the requirements of Title VII of Dodd-Frank.
Provide ongoing Compliance support for BSEF, BSTP and Terminal Products including:
- Assist BSEF and BSTP businesses by providing consultation and input on control matters consistent with Regulation SST for BSEF, and Regulation SCI for BSTP
- Assist in being a great partner with regulatory service provider on data delivery issues and work closely with technology team members.
- Assist in implementing changes to the compliance program and the BSEF Compliance Manual and related policies/procedures as needed on an ongoing basis.
- Oversee the dissemination of regular Compliance Alerts/Reminders ensuring that Participants and Business Groups are aware of new rules/regulations and policies/procedures.
- Assist in preparing periodic reports that are required to be presented/submitted to the governing body or relevant regulatory authorities.
- Bloomberg Terminal product support including technology project (TREQ) reviews and reviewing country guidelines as well as attending periodic meetings with business managers in connection with the same.
- Reviewing and approving investor questionnaires and other similar requests based on regulated status.
- Addressing compliance system controls including working with Compliance technology support
You'll Need To Have:
- 2 plus years’ Compliance or Regulatory experience, preferably with a federal regulator or self-regulatory organization, or in a trading environment, risk management function, or law firm
- Excellent oral and written communication skills.
- Strong experience and ability to project confidence and professionalism in all dealings with business personnel and technology groups.
- Ability to make, support and defend difficult and complex regulatory/compliance decisions in a dynamic environment.
We'd Love To See:
- JD degree
If That Sounds Like You:
Apply - if we think you're a good match, we'll get in touch with you to let you know next steps.
Bloomberg is an equal opportunity employer, and we 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.