Regulatory Compliance Practices Officer

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Posted May 20, 2024 - Requisition No. 125377

Our Team:

Bloomberg’s Legal & 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. We also recognize the value of diversity and inclusion and the importance of giving back to our communities as evidenced by our award-winning pro bono program.

The Global Compliance team provides coverage of Bloomberg's regulated entities and products, including support for Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. We are currently looking for an experienced person to work with our Global Compliance Practices team.

What's The Role?

As a Compliance Officer on our Compliance Practices team, you will work with Compliance colleagues, as well as key Legal, Risk, and Business partners, in delivering a Compliance Risk Management Program (Program) and contributing to key regulatory initiatives.  The role focuses on leading and supporting the pillars of the Compliance Risk Management Program such as risk assessment, issue management, regulatory mapping, regulatory change management/horizon scanning and governance and reporting, which are key processes and tools used by our department to help businesses and departments thoughtfully incorporate risk into decision making.  The role will also include leading or supporting strategic regulatory projects across multiple businesses, regions, and regulatory topics – which is a unique opportunity for broad exposure across the Company’s businesses and regulatory-related controls. As part of risk management practices, you will identify and escalate top and emerging risks to senior management and to Compliance management.

We'll Trust You To:

  • Being a thought-leader and team player on the subject of Compliance Risk Management, by contributing to various Compliance Practices program pillars such as Risk Assessment, Issue Management, Governance and Reporting (including key metrics), Regulatory Program Management, etc.;
  • Leading the global Regulatory Change Management pillar by enhancing the protocol for monitoring, tracking and related trigger events; 
  • Leading the EMEA Regulatory Mapping of various businesses and activities by overseeing and/or conducting the mapping of applicable regulatory obligations to risks, controls and policy documents for all the regulated entities in EMEA, and its subsequent maintenance;
  • Leading specific regulatory projects/programs, for example change management efforts to comply with new regulations or regulatory-related control enhancements, as directed by the Global Head of Compliance Practices and the Company’s Chief Compliance Officer, among others;
  • Providing subject matter expertise and knowledge of relevant risk trends, monitor and analyze regulatory risks within our business units, applying good judgement when evaluating both the risk and controls framework and presenting directly to senior management;
  • Partnering with our Risk and Compliance Shared Services (RCSS) team with other elements of the Compliance Risk Management Framework such as compliance policies, training, control testing and regulatory engagements;
  • Working closely with business units to conduct an in-depth analysis of key processes, which may include documentation of process flows, policy & procedure review, and stakeholder interviews;
  • Thoughtfully challenging the first line of defense on the identification and mitigation of risks, and the adequacy of controls; and
  • Staying informed on risk industry and educational/development opportunities.

You’ll Need To Have:

  • Minimum 10+ years of experience with Compliance, Legal, and/or Risk Management;
  • Substantial expertise in risk management frameworks and practices (e.g., COSO) and experience with project / program management;
  • Understanding of regulatory risk management, internal controls, and root cause analysis;
  • Knowledge of financial markets, instruments, and trading lifecycle;
  • Strong verbal and written communication skills, with an ability to present complex subject matter in a concise and straightforward way;
  • Ability to work in a dynamic environment, building and maintaining a network of contacts, and coordinating with several partners across our company to influence and drive the Compliance Risk Management program forward;
  • Self-starter, with the ability to work independently with minimal guidance and to deliver work within agreed timelines;
  • Enthusiastic, self-motivated, and effective under pressure;
  • The ability to work creatively and efficiently, to assist with building a program that’s deeply practical, risk-focused, and conscious of business and control partners’ needs;
  • Strong team player skills in order to guide organizational change and collaborate with key partners across various levels; and
  • Strong analytical and problem-solving skills to act decisively and independently to resolve sophisticated issues.
  • *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 passion about all things Risk and are genuine excitement about helping to build a best-in-class program.

Does this sound 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 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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