Senior Compliance Officer - E-Communications Surveillance - Legal & Compliance

Senior Compliance Officer - E-Communications Surveillance - Legal & Compliance Location New York Business Area Legal, Compliance, and Risk Ref # 10042304

Description & Requirements

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.

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. 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 our communities as evidenced by our award-winning pro bono program.
Our TeamAs an Electronic Communications (E-Comms) Surveillance Officer, you’ll be a critical member of the Employee Compliance team, which provides coverage of employee conduct risks such as personal account dealing, conflicts of interest, anti-bribery and anti-corruption, and compliance investigations. You will be responsible for conducting and enhancing lexicon-based reviews of employee communications, doing as-needed reviews to support internal investigations, and providing strategic insight and technical skills to enhance the E-comms program. The role also involves support of Bloomberg’s off-channel communication program. This role offers significant exposure to senior stakeholders across all business lines and reports into the Global Head of Employee Compliance.
What’s the Role? We are seeking a Compliance Officer with deep E-Comms Surveillance & Monitoring experience. You will be responsible for the day-to-day oversight of Bloomberg Compliance’s E-Comms surveillance program to identify and raise issues, including but not limited to financial crimes, ethics, and other compliance concerns. We are looking for someone with 4+ years of E-Comms surveillance experience at a financial institution, including experience leading a surveillance program. This role does not involve trade surveillance reviews, though you may work closely with colleagues who conduct such reviews.
We’ll trust you to: • Conduct routine lexicon-based reviews, deep dive reviews and ad hoc reviews of employee communications to ensure compliance with company policies • Review, analyze and raise potential compliance issues, including but not limited to, bribery and corruption, money laundering, sanctions, market abuse practices, and misuse of material non-public information • Have a strong understanding of third-party messaging platforms used globally (WhatsApp, WeChat, Line, Signal etc.) as well as mobile communication archiving products • Collaborate with subject matter specialists in Compliance, Legal, Chief Risk Office, HR, and other stakeholders to review and resolve problems • Continually assess the program’s efficiency, including through newly defined Key Performance Indicators, and implement improvements as required • Develop and improve surveillance review processes and procedures • Assist with regulatory inquiries and internal audits • Adapt to new systems and technology with ease • Stay abreast of rel