Compliance Officer – Electronic Trading Systems and EMEA Data Privacy Lead
Posted May 17, 2019 - Requisition No. 75191
Bloomberg’s Legal 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 come with being the world’s leading financial news and information company. 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 and 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 ensure compliance with current/developing rules and regulations, and correspond with regulators. Bloomberg has regulated activities that include regulated trading venues (e.g., UK Multilateral Trading Facility, US Swap Execution Facility), MIFID II benchmark activities, a US Broker-Dealer, and other regulated offerings globally.
Based in London, this is a great opportunity to join our growing EMEA Compliance team to focus on developing and improving systems, controls and workflows as well as maintaining and strengthening strategic relationships with internal partners.
Reporting to the Compliance Systems Manager you will be responsible for supporting our teams globally by:
- Managing and overseeing the systems used to support their regulatory supervisory role;
- ensuring controls are adequate and robust, e.g. system controls for client eligibility; and
- reviewing workflows regularly to maintain streamlined Compliance processes.
- To that end, the team works closely with the Compliance Engineering group, who are responsible for the maintenance and updates of Compliance systems. Furthermore, Compliance workflows interact with various systems owned by various colleagues, including Sales, Contracts, and Product teams. In this regard, the team maintains a strategic relationship with those partners.
We'll Trust You To:
- Understand regulatory requirements and keep up-to-date the regulatory knowledge relevant to Bloomberg’s products and services
- Understand Compliance teams’ various needs on systems, controls and workflows
- Act as product owner of our own systems
- Provide ongoing support our teams on their needs for maintaining Compliance’s own systems & workflows
- Propose improvement & enhancement plans in how to streamline and bring more efficiency and access capacity to our systems
- Plan and prioritise development projects requested by our colleagues
- Explain development needs and provide development specifications to Engineering groups
- Supervise steady progress of development projects and ensure a timely delivery
- Serve as a point of contact for internal partners when it comes to Compliance systems and workflows.
- Handle Compliance teams’ access and privilege to Bloomberg systems needed for performing their duties
- Provide trainings and mentorship to Compliance teams in relation to this area of expertise
You'll Need To Have:
- At least 2 years' regulatory compliance experience
- A broad knowledge and deep understanding of financial regulatory standards and requirements
- Experience in performing regulatory compliance processes and controls
- Excellent analytical and report writing skills
- Great project management skills
- Strong work ethic, diligent and solution orientated
- Concise in communications and excellent relationship management skills
We'd Love to See:
- A self-motivated individual who will thrive in a dynamic, open-plan environment
- Significant relevant experience in a number of regulatory compliance disciplines from either a Financial Services or Technology company
- An individual who has either Operations or Project Management experience in addition to the Regulatory Compliance component
- Broad experience in project management, Jira dashboard management and Agile approach
- Good knowledge of RegTech solutions and their development, and a keen interest in technology
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.
We are an equal opportunity employer. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status