Bloomberg Compliance EMEA – Trade Surveillance Compliance Officer, Bloomberg MTF | London | Bloomberg Careers

Bloomberg Compliance EMEA – Trade Surveillance Compliance Officer, Bloomberg MTF

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Posted May 15, 2020 - Requisition No. 82999

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 issues that come with being the world’s leading financial news and information company. 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. We also recognize the value of diversity and inclusion and the 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 including 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. We are looking for an experienced person to join the EMEA Compliance team in London, covering trade surveillance of the regulated trading venues including the Bloomberg Multilateral Trading Facility ("BMTF").

The Opportunity:

Reporting directly to the Chief Compliance Officer of Bloomberg's Multilateral Trading Facility (MTF), which is authorised by the FCA as well as a number of overseas regulators, you will act as a key member of the compliance team and help to drive the surveillance model of the future for Bloomberg, utilizing both traditional methods as well as data and technology.

The ideal candidate for this role will have significant regulatory experience with regard to financial markets and products, be familiar with FCA and European rules (in particular Market Abuse requirements), and be able to undertake market supervision of participant activity, in particular trade surveillance.

We are looking for a forward thinking, proactive individual with an interest in technology, coupled with good communication and interpersonal skills, who can work as part of a team with a real drive to add value to the firm.

We'll trust you to:

  • Conduct real-time market supervision, including surveillance of trading activity on the MTF.
  • Partner with other global Bloomberg trading platforms to ensure a consistent and joined-up approach to trade surveillance, including Bloomberg Trading Facility BV (BMTF’s sister MTF based in Amsterdam).
  • Provide guidance and advice on, as well as implement controls, relating to all FCA rules applicable to an authorised MTF.
  • Assist with further developing MiFIDII solutions and ensure continued and ongoing regulatory compliance, especially in terms of the trade surveillance program.
  • Work with Engineering to improve the trade surveillance system, providing business requirements and conducting testing to ensure requirements have been met.
  • Work with your colleagues to increase the profile of the MTF Compliance team within the business.
  • Analyse the impact of developing regulatory changes, especially in terms of trade surveillance requirements.
  • Manage “STOR” reporting process, and ongoing effectiveness of the STOR program.
  • Report on the effectiveness of the trade surveillance program, including the provision of relevant management information to various governance forums and committees.
  • Stay ahead of jurisdictional changes and challenges throughout Europe and beyond, working closely with legal
  • Conduct continuing education for sales and product

You'll need to have:

  • Significant relevant experience in terms of trade surveillance programs and systems.
  • In-depth knowledge of MiFIDII / MiFIR, and the regulatory operations of a trading venue.
  • Strong data analytics skills.
  • Strong understanding of one or more of the following asset classes: Fixed Income, IRS, CDS, FX derivatives and Equity derivatives.
  • Strong familiarity with the financial markets, electronic trading, and FCA and EU regulatory developments
  • Experience dealing with and responding to regulatory and FCA changes and enquiries
  • An analytical mind, the ability to solve complex problems and streamline processes

We'd love to see:

A track record of working with and advising senior business people on compliance matters
Experience working with other overseas regulators such as MAS, ASIC, HKMA would be an advantage

If this 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.

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