Senior Compliance Officer - Tradebook and Bloomberg Professional Services

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Bloomberg
  • 23 Oct 18

Senior Compliance Officer - Tradebook and Bloomberg Professional Services

Our Team:
Bloomberg's Legal 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 legal 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 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.

The Global Compliance team within Bloomberg's Legal Department provides coverage of Bloomberg's regulated entities and products including support for Bloomberg's non-regulated products and services. We work to address regulatory issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. Bloomberg has regulated activities that include regulated trading venues (e.g., UK Multilateral Trading Facility, US Swap Execution Facility), MIFID II benchmark activities, a US Broker-Dealer, and other regulated offerings globally.

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.

What's The Role?
Bloomberg's Americas Compliance team based in New York is looking for an experienced Broker Dealer Compliance Officer to join their team in New York. You will be responsible for helping to lead compliance coverage of Bloomberg's US Broker-Dealer, Tradebook. You will help in ensuring compliance with current/developing rules and regulations, maintaining and enhancing the compliance framework and program, and in corresponding with regulators. You will report into the Tradebook Chief Compliance Officer. You will be expected to regularly coordinate with members of the broader global compliance team in New York, London, and key jurisdictions in Asia, for purposes of coordinating compliance coverage with affiliated Bloomberg entities, and on central Compliance Practices and substantive programs.

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
  • Work closely with the business, Compliance and Legal teams, providing compliance requirements
  • Help to maintain the compliance program, including the compliance manuals, regulatory documentation and related policies and procedures
  • Assist in the preparation of periodic reports to management and regulatory bodies
  • Helping to handle regulatory inquiries and inspections, including internal audits

You'll Need to Be Able To:
  • Adapt to new systems and technology with ease
  • Work well under pressure and handle a number of different tasks at the same time while often meeting tight deadlines
  • Be a phenomenal teammate who is willing to support and assist other team members

You Need to have:
  • A minimum of 5-7 years of compliance experience with a broker-dealer or securities regulator
  • Current Series 7 and 24 license
  • Experience in liaising with financial regulators and the ability to handle regulatory inquiries and inspections
  • The ability to review and update compliance policies and procedures to reflect industry best practices, the evolving regulatory environment and changes to the business
  • Excellent analytical and organizational skills with strong attention to detail
  • The ability to interact with individuals from all levels of the business and relevant external stakeholders
  • A track record of working with and advising the business on compliance matters

We'd Love to See:
  • AML/KYC experience
  • Familiarity with OATS reporting
  • A desire to be part of a team in a dynamic and fast-paced organization
  • A legal degree
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.