Compliance Officer

Careers at Bloomberg

New York

Posted Aug 22, 2016 - Requisition No. 53650

At Bloomberg, our Compliance Department provides compliance coverage and support to our regulated and non-regulated entities, products and services. Our team partners closely with our Legal Department to address regulatory issues, ensuring compliance with current and developing rules and regulations, and corresponding with regulators.

In this role you will become a key team member on the Personal Trading Policy team and collaborate with many different groups internally. We will expect you to work closely with a team of other compliance officers, human resources, R&D, the management of various Bloomberg product groups, and key vendors to enforce the company’s Personal Trading Policy. We are a unique team with a very broad coverage mandate utilizing diverse skills and experience of all members of the team to succeed. You'll be offered an environment to share knowledge and experiences, and to develop individually in a company that positively encourages collaboration and team work.

Diversity and inclusiveness are essential to our success, and we strive to maintain an environment where our employees are respected for their diversity and empowered to make an impact.

We’ll trust you to:

  • Administer the third party technology solution to monitor personal trade surveillance.
  • Review and resolve exceptions flagged by the surveillance software. Communicate with employees and management to investigate violations to completion and escalate to human resources, as needed.
  • Analyze 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 propose and implement solutions.
  • Develop relationships with employees and management to advise on, and encourage adherence to, policy.
  • Generate and deliver reports and memos to legal personnel, human resources and management.
  • Developing and delivering annual and periodic trainings.
  • Main point of contact for all issues related personal trading policy and reviews.
  • Participate in various regulatory compliance and testing processes.

You’ll need to have:

  • 3+ years of compliance or regulatory experience at a financial services or investment firm.
  • Broad knowledge of the financial industry and industry surveillance best practices and technology.
  • Strong skills in Excel and all of Microsoft Office.
  • A Juris Doctor
  • Familiarity with regulatory compliance and trade monitoring software.
  • Develop confidence and strong relationships with business managers and R&D.
  • Strong organization and analytical skills and capable of independently handling multiple projects to completion.
  • Ability to work in technology-focused, fast paced environment and ability to adapt and defend analysis to constantly changing environment.
  • Excellent writing, communication and presentation skills.
  • Ability to work in Bloomberg L.P.'s New York office.
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