Senior Compliance Officer - New York
New York, NY
Posted Jun 29, 2021 - Requisition No. 91813
The Global Compliance team within Bloomberg’s Legal & Compliance Department provides coverage of our regulated entities and products including support for our non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators.
Bloomberg Tradebook LLC is a registered U.S. broker-dealer that focuses on providing sophisticated electronic trading solutions to third-party broker-dealers and their clients. In addition to other services, Bloomberg Tradebook LLC provides analytics, connectivity services and algorithms to third-party brokers and order-entry systems for equities, U.S. equity options and futures and non-U.S. options to the third-party brokers’ customers.
What’s The Role?
Reporting to the Senior Compliance Officer for Bloomberg Tradebook LLC, you will be responsible for helping to lead compliance coverage for Tradebook LLC (as well as, from time to time, assist with Compliance initiatives for certain affiliates in Canada, South America, and APAC), including help in ensuring compliance with current/developing rules and regulations, maintaining and improving the compliance framework and program, and in corresponding with regulators (including SEC/FINRA). The role will also involve coordination with members of the broader team in New York, Canada, London, and key jurisdictions in Asia, for purposes of coordinating compliance coverage with affiliated Bloomberg entities, and on central Compliance Practices and substantive programs. You may also work to support Bloomberg’s regulated entities in other jurisdictions such as Singapore and Canada.
We’ll Trust You To:
Identify compliance risks associated with the business practices, products and services
Help ensure that the business meets its regulatory requirements and mitigate compliance risks to avoid breaches, fines and regulatory sanctions
Promote and deliver a compliance culture within the firm and assist with staff training on compliance matters
Help maintain the compliance program, including the compliance manuals, regulatory documentation and related policies and procedures
Manage electronic communication surveillance and maintain records according to applicable law
Help with regulatory inquiries and inspections and internal audits
Adapt to new systems and technology with ease
Monitor and interpret regulatory developments
Thrive handling a number of different tasks at the same time while often meeting tight deadlines
Be a great teammate who is willing to support and assist other team members
You’ll Need To Have:
Minimum of 3-5 years of compliance experience with a broker-dealer or securities regulator
Current Series 7 license
Experience in liaising with financial regulators and the ability to handle regulatory inquiries and inspections
Experience in drafting WSPs
Excellent analytical and organizational skills with strong attention to detail
Confidence to interact with individuals from all levels of the business and relevant external partners
A track record of working with and advising the business on compliance matters
We’d Love To See:
Efficiency with upcoming CATS reporting
Experience with working with engineers to articulate sufficiently precise requirements for programming to comply with applicable law and business requirements
Canadian securities regulatory knowledge
Skilled project management with the ability to build a successful project plan and bring various stakeholders together to work towards meeting tight deadlines
A desire to be part of a team in a dynamic and fast-paced organization
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. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
Please note we use years of experience as a guide but we certainly will consider applications from you if you are able to demonstrate the skills necessary for the role.