Compliance Officer - Personal Account Dealing and Conflicts of Interest (COI) Analyst

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Posted May 3, 2024 - Requisition No. 125089

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!

We are looking for a person with personal account dealing and employee Conflicts of Interest (COI) experience to join the Employee Compliance team in London, with team members also in New York, as a Compliance Officer to support Bloomberg’s Personal Account Dealing and COI programs. The role will report to the Team Leader for Personal Account Dealing and COI.
What's the role?
Within the Employee Compliance function, the role will perform various surveillance activities related to employee personal trading and the disclosure and reporting of broker accounts to ensure compliance with firm policies and procedures and the Company’s Conflict of Interest Policy; provide functional support for personal trading operations; respond to employee inquiries; create reporting of personal trading metrics in connection with monthly, quarterly and annual reports; and assist with special projects related to the program.

The ideal candidate will have personal account dealing and COI knowledge and experience with personal brokerage account disclosures, broker feeds, post-trade surveillance, and violation reviews. Clear verbal and written communication and adept interpersonal skills are essential, especially when dealing with sensitive matters, together with the ability to analyze data, work as part of a team, be creative, and have a real drive to add value to the firm. We are looking for someone who thinks outside the box, enjoys handling multiple projects simultaneously and working in a fast-paced environment.

We'll trust you to:

  • Serve as a subject matter expert on Personal Trading operations
  • Answer employee inquiries (PAD tickets, COI tickets, email inquiries)
  • Handle alert/case inquiries related to PAD monitoring (potential violations)
  • Handle alert inquiries related to Outside Business Activity requests
  • Resolve trade monitoring system generated actions (i.e., new broker request, consent actions, etc.)
  • Support and work with our brokerage account team
  • Support policy on-boarding and maintenance
  • Provide violations framework support (i.e., policy reminder issuance, following up on low level violations)
  • Help in escalating and presenting to senior management, as appropriate
  • Support with metrics and reporting, policies and procedures, training, and awareness
  • Support management with internal audit inquires, risk assessments, compliance testing, etc.
  • Support the maintenance and enhancement of technology solutions

You'll need to have:

  • Familiarity with regulatory compliance and trade monitoring software
  • Experience analyzing trading data and drafting reports on flagged trades in the trade surveillance system
  • Broad knowledge of the financial industry and industry surveillance best practices
  • Strong organization and analytical skills and capable of independently handling multiple projects to completion
  • An analytical mind, the ability to solve complex problems and streamline processes
  •   A minimum of 3 years of experience supporting Personal Account Dealing and/or COI programs
  • Bachelor’s Degree
  • Strong critical thinking and problem-solving skills
  • Clear written and verbal communication skills, and strong attention to detail
  • Understanding of best practices related to conducting PAD/CIO investigations
  • Ability to interact and communicate issues to a wide range of stakeholders
  • Solid project and time management skills with the ability to manage multiple priorities
  • Self-motivated with excellent attention to detail and accuracy
  • Strong Excel, PowerPoint, and Visio skills

*Please note we use years of experience as a guide but we certainly will consider applications from all candidates who are able to demonstrate the skills necessary for the role.

We'd love to see:

  • A desire to be part of a team in a dynamic and fast-paced organization
  • Experience in identifying and managing risk, including risk framework and 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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