Compliance Officer - Personal Account Dealing - Legal and Compliance (12 month Contract)
New York, NY
Posted Mar 27, 2023 - Requisition No. 115106
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 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. 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.
We are looking for a person with Personal Account Dealing experience to join the Americas Compliance team in New York team on a temporary basis for a period of approximately 6 months supporting Bloomberg’s Personal Account Dealing program and Conflicts of Interest Policy.
Within the Americas Compliance function, you will work as part of the Personal Account Dealing team which oversees the firm's Personal Trading Policy and Conflicts of Interest Policy. The ideal candidate will have personal account dealing knowledge and experience with personal account disclosures, broker feeds, post-trade surveillance, and violation reviews. Good communication and interpersonal skills are essential, especially when dealing with sensitive matters, together with the ability to work as part of a team, be flexible and adaptive, and have a real drive to add value to the firm.
We'll trust you to:
- Administer the company’s technology solution to monitor personal trade surveillance
- Communicate to employees the company's Personal Trading Policy, including its trading restrictions and disclosure requirements
- Communicate to employees the company's Conflicts of Interest Policy and review disclosures under the Policy
- Investigate violations of the company's policies to completion, issue Policy reminders, and escalate to human resources, as needed
- Analyze underlying personal trade data for unusual behavior to identify conflicts of interest and other risks potentially not readily identified by the technology
- Work with other stakeholders in testing and updating the firm’s technology solution to monitor personal trading
- Develop relationships with employees and management to advise on and encourage adherence to compliance policies
- Generate and deliver reports to legal personnel, human resources and management
You'll need to have:
- A minimum of 2 years of compliance or regulatory experience at a financial services or investment firm or relevant function
- Familiarity with regulatory compliance and trade monitoring software
- Experience analyzing trading data and drafting reports on flagged trades in the trade surveillance
- 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
- Strong written and verbal communication skills, and strong attention to detail
- An analytical mind, the ability to solve complex problems and streamline processes
- Proficient in Microsoft Office, specifically Excel
We'd love to see:
- A desire to be part of a team in a dynamic and fast-paced organization
- Proficiency with the Bloomberg Terminal
- A track record of working with and advising senior businesspeople on compliance matters
- Experience of 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: https://www.bloomberg.com/company/what-we-do/
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 organization 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, color, 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.
The referenced salary range is based on the Company's good faith belief at the time of posting. Actual compensation may vary based on factors such as geographic location, work experience, market conditions, education/training and skill level.We offer one of the most comprehensive and generous benefits plans available and offer a range of total rewards that may include merit increases, incentive compensation [Exempt roles only], paid holidays, paid time off, medical, dental, vision, short and long term disability benefits, 401(k) +match, life insurance, and various wellness programs, among others. The Company does not provide benefits directly to contingent workers/contractors and interns.
Salary Range: 45 - 50 USD Hourly