Compliance Officer - EMEA

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Posted Apr 5, 2024 - Requisition No. 124316

Bloomberg’s Legal and 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. 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 & Compliance Department provides coverage of Bloomberg's regulated affiliates and products, as well as supporting some unregulated business products and services

The Opportunity:

Based in London, this post is a unique opportunity to support a broad and varied compliance programme for Bloomberg entities authorised by the FCA as ‘service companies’.  The role is in the EMEA advisory compliance advisory team and will support a range of electronic trading solutions provided by Bloomberg to buy and sell side clients across multiple asset classes and systems. The position will report to the Chief Compliance Officer of Tradebook Europe. 
The ideal candidate will be a quick learner with Compliance experience gained at a regulated firm whose business includes electronic trading activity or services, or with a front office vendor / market infrastructure firm in the financial sector.
Enthusiasm for problem-solving is a must, along with an eye for detail. Experience with regulatory requests or submissions (whether on the firm or regulator side) would be a plus, as well as knowledge of the FCA Senior Managers and Certification Regime and/or operational resilience landscape. Good communication and interpersonal skills are critical, as is the ability to work both independently with minimal supervision, as well as collaboratively in a team.

We'll trust you to:

  • Provide advisory compliance guidance on all applicable FCA rules for ‘service companies’, with support and oversight from the Chief Compliance Officer
  • Build relationships with senior leaders in product and sales in order to advise on rules and requirements applicable to a range of Bloomberg products and services, especially execution management systems
  • Draft, update and review compliance policies in line with regulatory requirements
  • Coordinate and draft responses to regulatory enquiries and prepare regulatory notifications and submissions
  • Prepare and present Compliance reporting for governance forums and to inform internal decision making
  • Prepare and deliver training to business stakeholders on Compliance and regulatory matters
  • Document, manage and monitor relevant compliance controls
  • Develop and streamline new and existing compliance processes
  • Collaborate extensively with colleagues across risk, compliance and product to identify potential enhancements and play a role in implementing change
  • Manage client categorisation escalations from the KYC and AML teams
  • Assess, interpret and discuss regulatory and technical concepts in a clear manner that helps stakeholders make informed decisions
  • Advise stakeholders on regulatory priorities including operational resilience and the Senior Manager Certification Regime 
  • Act as the second line of defence in a dynamic, forward thinking business

You'll need to have:

  • Experience of financial markets and regulation, probably within Compliance at a regulated firm
  • Familiarity with electronic trading activities/services, and associated FCA and EU regulatory expectations
  • Good knowledge of the UK regulatory framework, i.e. FCA Handbook
  • Experience drafting and/or implementing policies, procedures and controls
  • Practical understanding of one or more of the following asset classes: Fixed Income, FX derivatives, Equity derivatives, IRS or CDS
  • Experience collaborating in a fast-paced team environment, and ability to effectively manage and prioritise varied workstreams
  • A curious, analytical mind, with ability and drive to problem-solve and work independently
  • Excellent communication and organisational skills

We'd love to see:

  • Experience drafting regulatory returns, reports or other submissions
  • Familiarity with UK/EU trading venue perimeter issues and/or operational resilience landscape
  • Experience supporting or reporting to a senior governance or risk management group/committee
  • Experience of identifying and managing compliance risk, including issue management

Does this sound like you?

Apply if you think we're a good match. We'll get in touch to let you know that the next steps are, but in the meantime feel free to have a look at:

Bloomberg is committed to diversity. It drives our innovation. At Bloomberg, you'll have the opportunity to go above and beyond and to take risks. You'll be a part of an organisation that is entering new markets, launching new ventures, and pushing boundaries. Our ever-expanding array of technology, data, news, and media services champions innovation and empowers clients -- and offers nearly limitless opportunities for career growth.

Bloomberg is an equal opportunity employer and we value diversity at our company. We do not discriminate on the basis of age, ancestry, colour, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or parental leave, protected veteran status, status as a victim of domestic violence, or any other classification protected by applicable law.

Bloomberg is a disability inclusive employer. Please let us know if you require any reasonable adjustments to be made for the recruitment process. If you would prefer to discuss this confidentially, please email

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