Senior EMEA Compliance Practices and Compliance Testing Officer - London
Posted Jul 9, 2021 - Requisition No. 92115
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 and regulatory issues that come with being the world’s leading financial news and information company. 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. 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 Department 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 the Senior EMEA Compliance Practices and Compliance Testing Officer, you will work with the Global Compliance team, and key Legal, Risk, and Business colleagues, in testing controls for the global business areas, and working with stakeholders to conduct risk assessments, to build and maintain compliance policies, to create compliance training programs, and to manage identified issues. The role includes conducting an end to end process related to Compliance Testing, including assisting with development of a Compliance Testing plan, developing scope of Compliance Tests, identifying recommendations on control breakdowns, and reporting results to management. In addition, as your understanding of Bloomberg products develops, you must support the Risk Assessment program, the Policy program, the Issue Management program and Training program in EMEA. You must also identify, and escalate top and emerging risks to Senior Management and Compliance Management.
We'll Trust You To:
Support the Compliance Practices team, the Global Head of Compliance Practices, the Global Chief Compliance Officer, each of the Regional Chief Compliance officers, and Bloomberg’s business by:
- Being a global thought-leader and team player on the subject of Compliance Practices, especially as the Global Compliance Testing Officer
- Strengthening Compliance Monitoring & Testing, and coordinating or conducting relevant monitoring and testing routines on a risk-focused basis
- Supporting various Compliance Risk Assessments using a risk based approach, assisting with the Compliance Policy, Issue Management and Training programs
- Presenting directly to senior management on the above programs
- Managing ad hoc assignments as directed by the Global Head of Compliance Practices
You’ll Need To Have:
- Minimum 10+ years of experience in Compliance, and Risk Management, with extensive experience with regulated financial institutions
- Substantial Expertise in Compliance practices, including Compliance Risk Assessment, Compliance Monitoring & Testing, Compliance Training, Policy Management, Regulatory Change monitoring, and Issue Management
- Understanding of regulatory risk management, internal controls, and root cause analysis
- Experience interacting directly with global regulators
- International experience, working across multiple regulators, ideally within both Asia and the US as well as EMEA
- 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 verbal and written communication skills.
- Ability to work in a dynamic environment, building and maintaining a network of contacts, and coordinating with several partners across our company
- Enthusiastic, self-motivated, and effective under pressure
- Strong team player skills in order to guide organizational change and collaborate with key partners across various levels
- Familiarity with financial markets and products including trading platform and operations
If This 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, but in the meantime feel free to have a look at this:
Bloomberg is an equal opportunities employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.