Compliance Officer - Personal Account Dealing
New York, NY
Posted Feb 7, 2022 - Requisition No. 100481
Bloomberg’s Legal and 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. 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!
We are looking for a person with personal account dealing and employee code of conduct/ethics experience to join the Employee Compliance team in New York, with a team member also in London, as a Compliance Officer to support Bloomberg’s Personal Account Dealing program.
What's the role?
Within the Employee Compliance function, you will work as part of a global 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 brokerage account disclosures, broker feeds, post-trade surveillance, and violation reviews. Clear communication and adept interpersonal skills are essential, especially when dealing with sensitive matters, together with the ability to analyze data, work as part of a team, be creative, 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
- Identify process and technology weaknesses and recommend creative solutions
- 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
- Assist in delivering annual and periodic trainings
- Generate, draft, and deliver reports to legal personnel, human resources and management
You'll need to have:
- 3-5 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
- Clear written and verbal communication skills, and strong attention to detail
- Experience in drafting policies, procedures, and manuals, along with preparing reports for internal management
- An analytical mind, the ability to solve complex problems and streamline processes
- Proficiency 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 in the Bloomberg Terminal
- A track record of working with and advising senior business people on compliance matters
- Experience of identifying and managing risk, including risk framework and issue management
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.
We are an equal opportunity 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.