Compliance Officer – Research and Valuation / USA

Careers at Bloomberg

Princeton

Posted Nov 7, 2017 - Requisition No. 63158

The USA Bloomberg Compliance Department is part of the Global Bloomberg Compliance Department and provides compliance coverage of Bloomberg's regulated entities and products, as well as compliance support for Bloomberg's non-regulated products and services. The Compliance Department works closely with the Legal Department to address regulatory issues, ensuring compliance with current and developing rules and regulations, and corresponding with regulators.

What's The Role?

We are seeking a Compliance Officer who will be responsible for supporting Bloomberg's Research and Valuation products, including Bloomberg Intelligence, Bloomberg Indices, BNEF and BVAL. The Compliance Officer will share responsibility for 800+ related employees, working closely with Legal, Compliance Colleagues, Business Leaders, Research Analysts, Editors, and Engineers. You will report into the Senior Compliance Officer responsible for research and valuation compliance.

We'll Trust You To:

  • Enforce, train, update employees on Codes of Conduct for the research and valuation products
  • Administer the surveillance program for the research and valuation products
  • Actively test compliance policies and procedures, and identify need for enhancement
  • Identify and advance potential regulatory or ethical issues
  • Work closely with a broad range of Bloomberg employees, including Business Leaders, Internal Counsel, and Engineers to provide guidance and implement consistent compliance standards

You'll Need To Have:

  • Min 5 years’ experience in the financial industry with broad knowledge of financial concepts
  • Strong organizational and analytical skills
  • Excellent communication and interpersonal skills
  • Ability to identify, raise, and present contentious issues to managers and HR
  • Exposure to Investment Advisor or Broker-Dealer regulation preferred
  • Ability to work well in a dynamic environment and handle a number of different tasks at once to completion
  • Comfortable working with technology and able to understand its development and application
  • Ability to quickly issue-spot and apply sound judgment

We'd Love To See:

  • JD degree a plus

If That Sounds Like You:

Apply! If we think you're a good match, we'll get in touch with you to let you know next steps.

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.

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