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Regulatory Compliance Practices Officer

Bloomberg LP

Bloomberg is an information and technology company, building the world’s most trusted information source and community for financial professionals.

The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast – while keeping up the quality and accuracy we’re known for. It’s what keeps us inventing and reinventing, all the time. Our culture is wide open, just like our spaces. We bring out the best in each other through teamwork. Through our countless volunteer projects, we also help network with the communities around us, too. You can do outstanding work here. Work you couldn’t do anywhere else. It’s up to you to make it happen.

Bloomberg’s Legal & Compliance 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 issues that come with being the world’s leading financial news and information company. Our team is made of 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 also 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 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. We are currently looking for an experienced person to work with our Global Compliance Practices team.

As a Compliance Officer on our Compliance Practices team, you will work with Compliance colleagues, as well as key Legal, Risk, and Business partners, in delivering a Compliance Risk Management Program, and contributing to key regulatory initiatives. The role focuses on Risk Assessments, Regulation Mapping and Control Testing, with a supporting role to Issue Management- four of the key Pillars of our Compliance Risk Management Program. The role will also include leading or supporting strategic regulatory projects across multiple businesses, regions, and regulatory topics – which is a unique opportunity for broad exposure across the Company’s businesses and regulatory-related controls.

We’ll Trust You To:

  • Support the Compliance Practices team, the Global Head of Compliance Practices, the Global Chief Compliance Officer, each of the Regional Chief Compliance officers, and Bloomberg’s business by:
  • Being a global thought-leader and team player on the subject of Compliance Risk Management
  • Contributing to various Compliance Practices program pillars, and personally leading Risk Assessments, Regulation Mapping or Control Testing of various businesses and activities using a risk based approach
  • Presenting directly to senior management on the results of the above efforts
  • Leading specific regulatory projects/programs, for example change management efforts to comply with new regulations or regulatory-related control enhancements, as directed by the Global Head of Compliance Practices and the Company’s Chief Compliance Officer, among others

You’ll Need To Have:

  • 5+ years of experience with Compliance, Legal, and/or Risk Management, with experience in regulated financial institutions
  • Expertise in Compliance Risk Management, including one or more of the following: Compliance Risk Assessment, Compliance Control Testing, Compliance Training, Regulation Mapping, and/or Issue Management
  • Expertise in Project and/or Program Management
  • A strong understanding of: regulatory risk management, identification and measurement of inherent risk, evaluation of internal control effectiveness, root cause analysis
  • Strong verbal and written communication skills, with an ability to present complex subject matter in a concise and straightforward manner
  • The ability to work in a dynamic environment, build and maintain a network of contacts, and coordinate with several partners across Bloomberg to influence and drive the Compliance Risk Management program forward
  • An enthusiastic and self motivated attitude as well as the ability to work effectively under pressure
  • A creative and efficiency driven mindset to assist with building a program that’s deeply practical, risk-focused, and conscious of business and control partners’ needs
  • Strong collaboration skills in order to guide organizational change and collaborate with key partners across various levels

We’d love to see:

  • Experience working for a financial services regulator or self-regulatory organization or consulting firm
  • Experience in leading risk assessments or controls testing and presenting results to management
  • Familiarity with financial markets and products including electronic trading platform and operations

Does this sound 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.

Bloomberg is an equal opportunity employer and we value diversity at our company. We do not discriminate on the basis of age, ancestry, color, gender identity or expression, genetic predisposition or carrier status, marital status, national or ethnic origin, race, religion or belief, sex, sexual orientation, sexual and other reproductive health decisions, parental or caring status, physical or mental disability, pregnancy or maternity/parental leave, protected veteran status, status as a victim of domestic violence, or any other classification protected by applicable law.

Bloomberg is a disability inclusive employer. Please let us know if you require any reasonable adjustments to be made for the recruitment process. If you would prefer to discuss this confidentially, please email amer_recruit@bloomberg.net.

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Regulatory Compliance Practices Officer

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Bloomberg LP

Bloomberg is an information and technology company, building the world’s most trusted information source and community for financial professionals.

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