Electronic Communications ("E-Comms") Compliance Officer | New York, NY | Bloomberg Careers

Electronic Communications ("E-Comms") Compliance Officer

Careers at Bloomberg

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New York, NY

Posted Sep 14, 2021 - Requisition No. 95399

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 legal issues that arise across the Company’s various businesses. 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 of diversity and inclusion in cultivating a supportive workplace and the importance of giving back to our communities as evidenced by our award-winning pro bono program.

Our Team

The Global Compliance team within Bloomberg’s Legal & Compliance Department provides coverage of Bloomberg's regulated entities and products including support for Bloomberg's non-regulated products and services. We work to ensure compliance with current/developing rules and regulations, and correspond with regulators.

What’s the Role

We are seeking a Compliance Officer with relevant Electronic Communications (“E-Comms”) Surveillance & Monitoring experience. You will be responsible for the day-to-day oversight of Bloomberg Compliance’s E-Comms surveillance program to identify and raise issues, including but not limited to financial crimes, ethics, and other compliance concerns. The ideal candidate will handle escalations of daily reviews, and provide strategic insight and technical acumen to improve the existing e-comms program. We are looking for someone with 3-6 years of E-Comms surveillance experience at a financial institution, including experience leading a surveillance program.

This role does not involve trade surveillance reviews, though the candidate will be expected to work closely with colleagues who conduct such reviews.

We’ll trust you to:

  • Conduct routine lexicon-based reviews, deep dive reviews and ad hoc reviews of employee communications to ensure compliance with company policies
  • Review, analyze and raise potential compliance issues, including but not limited to, bribery and corruption, money laundering, sanctions, market abuse practices, and misuse of material non-public information
  • Collaborate with subject matter specialists in Compliance, Legal, Chief Risk and Compliance Office, and other stakeholders to review and resolve potential compliance issues
  • Continually assess the program’s efficiency, including through newly defined Key Performance Indicators, and implement improvements as required
  • Develop and improve surveillance review processes and procedures
  • Assist with regulatory inquiries and internal audits
  • Adapt to new systems and technology with ease
  • Stay abreast of relevant regulations, industry best practices and internal policies
  • Develop spreadsheets, databases and reports with a focus on process oversight and improvement
  • Act with integrity and operate with discretion
  • Thrive when handling a number of different tasks at the same time while often meeting tight deadlines
  • Be a great teammate who is willing to support and assist other team members

You’ll need to have:

  • 3-6 years of electronic communication surveillance experience
  • Program management experience
  • Experience defining and conducting lexicon-based reviews
  • Experience improving electronic communication surveillance programs
  • Ability to collaborate with partners at different levels of an organization
  • Ability to work independently and effectively run and prioritize multiple projects
  • Outstanding oral, written, and presentation skills
  • Excellent analytical skills and strong attention to detail
  • Demonstrated ability to prioritize multiple tasks in a fast-paced environment
  • Bachelor’s Degree required

We’d love to see:

  • Data Analytics qualification and experience with Business Intelligence tools such as Tableau, Qlik Sense
  • Experience with Bloomberg Vault and/or Bloomberg Surveillance products
  • People management experience
  • Experience working in the in-house legal department of a financial technology company
  • Foreign language skills (Spanish, Portuguese, Chinese)
  • Flexible nature, willing to think outside the box

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, but in the meantime feel free to have a look at this: https://www.bloomberg.com/company/

Bloomberg is an equal opportunities 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.

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