SEFpliance Surveillance Lead and Advisorypliance Officer - Legal &plianceThe 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 collaboration. Through our countless volunteer projects, we also help network with themunities 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 &pliance Department plays a critical role in supporting our businesses and operations around the world.
We move quickly and thoughtfully to help address a variety ofplex legal issues that arise across thepany'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.
Diversity and inclusion are essential to our success, and we strive to maintain an environment where our employees are empowered to make an impact.
We also recognize the value of diversity and inclusion in cultivating a supportive workplace and the importance of giving back to ourmunities as evidenced by our award-winning pro bono program.
The Globalpliance 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, ensurepliance with current / developing rules and regulations, and correspond with regulators.
Bloomberg has regulated activities that include regulated trading venues (, UK Multilateral Trading Facility, US Swap Execution Facility), MIFID II benchmark activities, a US Broker-Dealer, and other regulated offerings globally.
We are looking for a Swap Execution Facility (SEF)pliance Officer to join our SEFpliance team.
In this role, you will be responsible for assisting the SEF CCO in ensuringpliance with the CEA and CFTC SEF related regulations, as well with relevant foreign regulations.
We will expect you to provide interpretive guidance to participants and the business as needed, including real time advisory services globally.
This is a unique team which utilizes the diverse skills and experience of all members to succeed in covering many different products and regulatory requirements.
It offers an environment to share knowledge and experiences, and to develop individually in apany that positively encourages collaboration and teamwork.
We'll trust you to :
- Conduct trade surveillance monitoring, real-time market monitoring and investigations
- Assess and interpret the relevance of applicable rules and regulations
- Liaise with regulators, as well as BSEF's regulatory service provider
- Respond to regulatory inquiries
- Assist with investigations and disciplinary actions
- Provide advisorypliance services to the business
- Review, update and draftpliance policies
- Develop and streamline new and existingpliance processes
- Review and approve as necessary system initiatives and enhancements related to SEF functionality
- Identify potential enhancements in processes and play a role to implement system changes
- Prepare reports for regulatory bodies and internal management
- Keep abreast of regulatory changes and their potential impact
- Act as the second line of defense in a dynamic, forward-thinking business
- Plan, prepare and conduct continuing education for business stakeholders
- As part of the broaderpliance team, providepliance support to the broad range of businesses operated by Bloomberg LP
You'll need to have :
- A minimum of 7 years' derivatives, swaps and / ormodities productspliance
- Experience conducting trade surveillance, real-time market monitoring and investigating potential rule violations
- Experience in providingpliance advice to business and operations professionals to support the resolution of real-time trading issues
- A strong understanding of market structure, including swap dealing, reporting and clearing
- Experience in the financial markets, specifically electronic trading
- Experience responding to regulatory inquiries
- Strongmunication and interpersonal skills
- A track record of working with and advising senior business people onpliance matters
- The ability to advise on regulatory changes and developments
- Experience in drafting policies, procedures, and manuals, along with preparing reports for regulatory bodies and internal management
- An analytical mind, the ability to solveplex problems and streamline processes
- Applicants with experience as sales and trading professionals in swaps, derivatives and / ormodities products will also be considered
We'd love to see :
- Fluency with financial trading technology
- Familiarity with Scila software or similar trade surveillance tools
- A desire to be part of a team in a dynamic and fast-paced organization
- JD degree
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