Compliance Officer - Compliance Monitoring Programme

Careers at Bloomberg


Posted Oct 3, 2017 - Requisition No. 62435

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?

Bloomberg is looking for an experienced Compliance Officer to join the EMEA Compliance team. The Compliance Monitoring Programme covers a multitude of businesses within Bloomberg LP, including Bloomberg Trading Facility Limited, the operator of the Bloomberg MTF, Bloomberg Indices, Bloomberg Data Reporting Services including ARM and APA. The role will focus on conducting risk assessments, gap analysis, monitoring and testing as part of the overall Compliance Monitoring Plan (CMP), maintain and developing the CMP processes, tracking action items to resolution, and providing appropriate management information on progress.

We’ll trust you to:

  • Work collaboratively within the team to ensure the CMP is effective across all relevant business groups and an effective assurance programme
  • Conduct risk assessments on a regular scheduled basis, including any associated controls and their effectiveness
  • Undertake monitoring and testing in accordance with the CMP for each of the relevant businesses
  • Close liaison with other internal groups to ensure a first-class client experience, in particular business-facing Compliance teams, product and business teams, engineering, and risk
  • Identify potential enhancements in processes and play a role to implement system changes
  • Keep up-to-date with regulatory rules and changes
  • Review, update and draft compliance policies as required, as well as maintain relevant procedures
  • Plan, prepare and conduct continuing education as required
  • Prepare reports for regulatory bodies and internal management

You’ll need to have:

  • Bachelor's Degree (strongly preferred)
  • Experience within Compliance at a regulated financial institution, or with a regulator
  • Experience and knowledge of regulatory developments is preferred, for example BMR and MiFID2

We'd love to see:

  • Familiarity with financial markets and products is preferred, e.g. Fixed Income, FX, Commodities, and Equities
  • Working knowledge and understanding of FCA and EU regulatory developments

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.

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