Senior Compliance Officer - Communication Platforms and Record Retention - Legal & Compliance

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Posted Oct 19, 2023 - Requisition No. 120924

The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. It's what keeps us inventing and reinventing, all the time. Our culture is wide open like our spaces. We bring out the best in each other through collaboration. Through our countless volunteer projects, we also help network with the communities around us, too. You can do amazing work here. Work you couldn't do anywhere else. It's up to you to make it happen.   
What's the Role? 
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 legal issues that arise across the Company’s various businesses. Our team is made 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 in cultivating a supportive workplace and the importance of giving back to our communities as evidenced by our award-winning pro bono program.

We are seeking a highly skilled and experienced Electronic Communications (E-Comms) Surveillance Officer with a deep understanding of record-keeping requirements of third-party chat platforms. As an E-Comms surveillance officer, you’ll be a critical member of the E-Comms surveillance team. You will help drive the company’s communication platform program by collaborating with cross-functional teams (including Sales and Corporate Technology), manage timelines and deliverables, and lead a cross-functional committee on assessing and onboarding communication platforms. 

Additionally, you will be responsible for conducting and enhancing lexicon-based reviews of employee communications, doing as-needed reviews to support internal investigations, and providing strategic insight and technical skills to enhance the E-comms program. This role offers significant exposure to senior stakeholders across all business lines. You will be part of a small team dedicated to E-Comms surveillance globally and report into the Global Head of Employee Compliance. 

We’ll trust you to: 

  • Have a deep understanding of the Department of Justice’s guidance on Corporate Compliance Programs 
  • Have a strong understanding of third-party messaging platforms used globally (WhatsApp, WeChat, Line, Signal etc.) as well as mobile communication archiving products
  • Have prior experience implementing a governance framework for records management and infrastructure while influencing key stakeholders 
  • Create and manage project plans, timelines, and budgets 
  • Coordinate with cross-functional teams to ensure a seamless execution of initiatives while supporting and assisting teammates and successfully meeting tight deadlines 
  • Recognize opportunities to streamline current processes and create new controls 
  • Have experience with, and a strong understanding of the risks related to retention and surveillance within an e-comms surveillance monitoring tool 
  • Conduct lexicon-based reviews and investigations of employee communications to ensure compliance with company’s policies
  • Stay abreast of relevant regulations, industry standards and practices, and internal policies
  • Review, analyze and escalate potential compliance issues, including but not limited to, bribery and corruption, money laundering, sanctions, market abuse practices, and misuse of material non-public information in collaboration with Compliance, Legal, and Risk
  • Interact with subject matter experts in Compliance, Legal, Chief Risk Office, and other stakeholders to review and resolve potential compliance issues
  • Continually assess the program’s effectiveness, including through newly defined Key -Performance Indicators, and implement enhancements as required
  • Assist with regulatory inquiries and internal audits
  • Adapt to new systems and technology with ease
  • Develop spreadsheets, databases and reports with a focus on process oversight and improvement
  • Act with integrity and operate with discretion

You'll need to have:  

  • A minimum of 3 years of relevant experience
  • A bachelor’s Degree 
  • A demonstrated ability to analyze data, produce metrics, and present to senior stakeholders
  • Strong project management, and written and oral presentation skills 

We’d love to see: 

  • Experience with Bloomberg Vault and/or Bloomberg Surveillance Products
  • Foreign language skills (Chinese)
  • Strong PowerPoint, Excel and Visio skills
    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:
    *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.

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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