Compliance Officer - Tradebook Europe
Posted Oct 4, 2017 - Requisition No. 62449
The global Bloomberg Compliance Department provides 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?
You will report to the Team Lead Senior Compliance Officer of Bloomberg Tradebook Europe Limited (BTEL), which is authorised by the FCA. You will have meaningful regulatory/compliance experience with regard to financial markets and products, be familiar with FCA and European rules, AML and Market Abuse requirements.
We'll trust you to:
- Provide guidance on and implement controls relating to all FCA rules applicable to an authorised Broker Agency firm
- Assist the business with developing MiFID II solutions and ensure regulatory compliance post-Jan 2018
- Review, update and implement policies and procedures
- Provide guidance and advice regarding AML requirements and respond to client questions and comments
- Conduct AML/CDD checks as part of BAU, periodic or event driven reviews; this includes identification, verification and screening of new clients daily
- Investigate CDD and / or customer transactions and compiling and advising investigation data
- Conduct required monitoring and screening checks, as well as regular client reviews
- Formally escalate confirmed suspicious activities investigations
- Keep up-to-date with regulatory rules, changes and assist the EMEA Head of Compliance and Team - Lead with providing guidance and précis regulatory publications where necessary to business units
- Respond to regulatory enquiries and manage regulatory relationships as appropriate
- Act as the second line of defence in a dynamic, forward thinking business
- Develop and maintain training programmes for employees
You'll need to have:
- Bachelor's Degree (strongly preferred)
- Significant experience within Compliance or a relevant role at a regulated financial institution, or with a regulator
- Experience in financial crime, CDD/KYC, EDD, conducting AML investigations and ongoing monitoring
- Experience and knowledge of the financial markets, regulatory developments, for example MLD4 and MiFID2
- Experience to advise on regulatory changes and developments
- An analytical mind, with the ability to tackle complex problems, develop and streamline processes
We'd love to see:
- Familiarity with financial markets and products is preferred, e.g. Equities, U.S. Options and Futures in addition to FCA and EU regulatory developments
- Knowledge of MiFID II / MiFIR
If that 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.
Bloomberg is an equal opportunities employer and value diversity at our company. We do not discriminate on the basis of race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.