Global Regulatory Exams and Inquiries Officer – Risk & Compliance Shared Services

Key Responsibilities

• Oversee regulatory examinations and inquiries primarily in the Americas and other jurisdictions as required, and manage all aspects of the examination process, including but not limited to, engagement strategy, pre-engagement readiness, on-site reviews, post-engagement closure and lessons learned exercises
• Coordinate the collection and review of relevant documents and information requested
• Partner with subject matter experts to draft responses to regulatory examinations and inquiries, ensuring a consistent and evidence-based narrative
• Prepare senior managers and subject matter experts for interviews and meetings with regulatory examiners
• Collaborate with teams across Bloomberg, including legal, finance, risk, engineering, and the business to ensure alignment and consistency in regulatory responses.
• Maintain regulatory engagement data and prepare and produce management information and reporting on the global regulatory engagement program
• Assist with the development of the global regulatory engagement program, including working with internal stakeholders to develop systems and technology solutions for the program
• Contribute to risk assessment and testing programs to help assess potential regulatory risks and develop strategies to mitigate them
• Proactively monitor dynamic regulatory environment to anticipate impact on Bloomberg and its regulated entities and implement lessons learned strategies
• Support the Global Regulatory Engagement Lead and the Head of Risk and Compliance Shared Services, by:
• Strengthening the regulatory exam and inquiries framework
• Presenting directly to senior management on regulatory exams and inquiries
• Managing ad hoc assignments as directed by the Global Regulatory Engagement Lead and Global Head of Shared Risk and Compliance

Qualification & Requirements

You’ll Need To Have

• Bachelor’s degree in Finance, Law, Business or related field; Master’s degree preferred
• 5+ years of experience in Regulatory Affairs, Compliance, and/or Risk Management, preferably at a banking or a financial services organization or at a financial services regulator
• Knowledge of the US and Canadian regulatory environment for financial services and institutions
• Substantial expertise in successful delivering Regulatory Exams and Inquiries globally across various regulatory regimes
• Understanding of regulatory risk management, internal controls, root cause analysis, financial products, and services
• Proven senior stakeholder management skills
• Strong verbal and written communication skills
• Ability to work in a dynamic environment, building and maintaining a network of contacts, and coordinating with several partners across our company
• The ability to work creatively and efficiently, to assist with building a program that’s deeply practical, risk-focused, and conscious of business and control partners’ needs
• Strong team player skills in order to guide organizational change and collaborate with key partners across various levels

We’d Love To See

• Experience interacting directly with US and Canadian regulators
• International experience, especially in Europe, Asia or USA
• Familiarity with financial markets and products including financial technology, trading platforms and operations

Benefits

• Health Insurance
• Vacation Policy
• Retirement Benefits
• Other Perks and Benefits…