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Compliance Officer

2 months ago

New York, New York, United States Bloomberg Full time
Job Title: Compliance Officer

Bloomberg is seeking a highly skilled Compliance Officer to join our Legal and Compliance Department. As a key member of our team, you will play a critical role in supporting our businesses and operations around the world.

Job Summary:

We are looking for a Compliance Officer with personal account dealing and employee code of conduct/ethics experience to join our Employee Compliance team in New York, with a team member also in London. The successful candidate will perform various surveillance activities related to employee personal trading and the disclosure and reporting of broker accounts to ensure compliance with firm policies and procedures and the Company's Conflict of Interest Policy.

Key Responsibilities:
  • Perform surveillance activities related to employee personal trading and broker account disclosures
  • Provide functional support for personal trading operations
  • Respond to employee inquiries and create reporting of personal trading metrics
  • Assist with special projects related to the program
  • Communicate company policies and procedures to employees
  • Investigate violations of company policies and escalate to human resources as needed
  • Analyze underlying personal trade data for unusual behavior and identify conflicts of interest and other risks
  • Identify process and technology weaknesses and recommend creative solutions
  • Work with stakeholders to test and update the firm's technology solution to monitor personal trading
  • Develop relationships with employees and management to advise on and encourage adherence to compliance policies
  • Review and update company policies and procedures as needed
Requirements:
  • Minimum of 3 years of relevant experience within a Personal Account Dealing Compliance program
  • Bachelor's Degree
  • Demonstrated ability to analyze data, produce metrics, and present to senior stakeholders
  • Strong project management, written, and oral presentation skills
Preferred Qualifications:
  • Familiarity with regulatory compliance and trade monitoring software
  • Experience analyzing trading data and drafting reports on flagged trades
  • Broad knowledge of the financial industry and industry surveillance best practices
  • Experience identifying and managing risk, including risk framework and issue management
  • Strong organization and analytical skills and capable of independently prioritizing multiple projects to completion
  • Experience in drafting policies, procedures, and manuals, along with preparing reports for internal management
About Bloomberg:

Bloomberg is committed to diversity and inclusion. We believe that a diverse and inclusive workplace is essential to our success. We are an equal opportunity employer and welcome applications from qualified candidates of all backgrounds.

We offer a comprehensive and generous benefits plan, including merit increases, incentive compensation, paid holidays, paid time off, medical, dental, vision, short and long-term disability benefits, 401(k) + match, life insurance, and various wellness programs.