Compliance Officer- Personal Account Dealing

Careers at Bloomberg


Posted Oct 20, 2017 - Requisition No. 62856

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?

We are seeking a Compliance Officer to become a key team member on the Personal Account Dealing team. You will work closely with a team of other compliance officers, human resources, and the management of various Bloomberg product groups to assess risk and spot and resolve violations that may arise from personal trading behavior. Additionally, you will serve as the direct point of contact for employee inquiries and concerns surrounding the Personal Trading Policy.

We'll trust you to:

  • Administer the technology solution to monitor personal trading
  • Analyse underlying personal trade data for unusual behavior to identify conflicts of interest and other risks potentially not readily identified by the technology
  • Communicate with employees and management to investigate violations to completion and escalate to human resources, as needed, including a supporting memo and reports
  • Identify process and technology weaknesses and work directly with the technology vendor on improvements
  • Develop relationships with employees and management to advise on, and encourage adherence to, policy
  • Assist in delivering annual and periodic trainings
  • Generate and deliver reports and memos to management
  • Be the main point of contact for all issues related to personal trading policy and reviews in EMEA and APAC
  • Participate in various regulatory compliance and testing processes

You’ll need to have:

  • Compliance or regulatory experience at a financial services or investment firm
  • A Bachelor's degee, Law degree preferred
  • Personal Account Dealing (PAD) experience
  • Highly skilled in Microsoft Excel and all of Microsoft Office
  • Broad knowledge of the financial industry and industry surveillance best practices
  • Familiarity with regulatory compliance and personal trading monitoring software
  • Developed confidence and strong relationships with business managers
  • Strong organization and analytical skills and capable of independently handling multiple projects to completion
  • Ability to work in technology-focused, fast paced environment and ability to adapt and defend analysis to constantly changing environment
  • Excellent writing, communication and presentation skills

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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