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Senior Compliance Officer - Bloomberg Tradebook - Legal & Compliance



New York, NY, USA
Posted on Sunday, April 28, 2024

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 like our spaces. We bring out the best in each other through collaboration. Through our countless volunteer projects, we also help network with the communities around us, too. You can do amazing work here. Work you couldn't do anywhere else. It's up to you to make it happen.

What’s the role?

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 legal issues that arise across the Company’s various businesses. 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 also recognize the value of diversity and inclusion in cultivating a supportive workplace 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 & 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. Additionally, the firm supports a fixed income RFQ/RFE system which allows for the negotiation of transactions.

You will be responsible for helping to lead compliance coverage, maintaining and improving the compliance framework and program, and correspondence with regulators. The role will also involve coordination with members of the broader 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. You may also work to support Bloomberg’s regulated entities in other jurisdictions including in conjunction with local country Compliance.

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
  • Assist in the preparation of periodic reports to management and regulatory bodies
  • 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 colleagues

You’ll need to have:

  • A bachelor’s degree
  • A minimum of 7 years compliance experience with a regulator or broker dealer
  • Demonstrated ability to analyze data, produce metrics, and present to senior stakeholders
  • Great project management and written/oral presentation skills
  • Understanding of FINRA marketing and Sales communication rules
  • Familiarity with regulatory reporting experience (CAT/Trade Reporting/TRACE)
  • Familiarity with Reg ATS and market regulation
  • Strong understanding of fixed income and/or equity products
  • Experience drafting compliance manuals and procedures
  • Proficiency with Excel and PowerPoint

We’d love to see:

  • Prior experience with the Bloomberg Terminal
  • Series 7 and 24 FINRA licenses
  • A JD

Does this sound like you?

Apply if you think we're a good match. We'll get in touch to let you know that the next steps are, but in the meantime feel free to have a look at: https://www.bloomberg.com/company/what-we-do/

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 provides reasonable adjustment/accommodation to qualified individuals with disabilities. Please tell us if you require a reasonable adjustment/accommodation to apply for a job or to perform your job. Examples of reasonable adjustment/accommodation include but are not limited to making a change to the application process or work procedures, providing documents in an alternate format, using a sign language interpreter, or using specialized equipment. If you would prefer to discuss this confidentially, please email AMER_recruit@bloomberg.net (Americas), EMEA_recruit@bloomberg.net (Europe, the Middle East and Africa), or APAC_recruit@bloomberg.net (Asia-Pacific), based on the region you are submitting an application for.