Global Regulatory Exams and Inquiries Officer

Bloomberg New Energy Finance; Greater London; On-site; GBP 80,000 - GBP 100,000; Full time

Job summary

A leading financial services firm in London seeks a Global Regulatory Exams and Inquiries Officer. This role is crucial in managing regulatory examinations and inquiries, particularly for APAC and EMEA jurisdictions. The ideal candidate will have over 10 years of experience in Regulatory Affairs, Compliance, and Risk Management, alongside a strong educational background. The candidate should excel in communication, work effectively under pressure, and be a strong team player. An operationally effective program experience is a strong plus, especially within financial services.

Qualifications

• 10 years of experience in Regulatory Affairs, Compliance, and/or Risk Management.
• Substantial expertise in delivering Regulatory Exams and Inquiries globally.
• Strong understanding of regulatory risk management and internal controls.

Responsibilities

• Oversee regulatory examinations and inquiries from London.
• Coordinate the collection and review of documents requested.
• Prepare senior managers for meetings with regulatory examiners.

Skills

Regulatory Affairs

Compliance

Risk Management

Strong verbal and written communication

Education

Bachelor’s degree in Finance, Law, Business or related field

Master’s degree preferred

Job description

Overview

Global Regulatory Exams and Inquiries Officer – London

Location: London

Business Area: Legal, Compliance, and Risk

Ref #: 10048885

Description & Requirements

Our Team:

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 up of talented and hardworking legal and compliance professionals who think creatively and work collaboratively in an open environment to deliver results, drive innovation, and solve difficult problems. We are committed to a workplace where all of our employees can thrive regardless of background, and where everyone feels empowered to make an impact. We also recognize the importance of giving back to our communities as evidenced by our award-winning pro bono program!

The Global Compliance, Legal and Risk teams provide coverage of Bloomberg's regulated entities and products, including support for Bloomberg's non-regulated products and services. We work to address regulatory and operational issues, ensure compliance with current/developing rules and regulations, and correspond with regulators. We are currently looking for an experienced individual to work within our Shared Risk and Compliance team.

What\'s The Role?

As the Global Exam Management and Regulatory Inquiries Officer, you will work with the Global Regulatory Engagement Lead, the Chief Risk Office and Global Compliance teams, and key Business colleagues. Your expertise will be instrumental in leading responses to regulatory examinations and inquiries and to help develop the global regulatory engagement program to ensure a successful outcome for Bloomberg and its regulated entities. In addition, as your understanding of Bloomberg products develops, you will support the firmwide risk management program and have the ability to identify, and escalate top and emerging risks to Senior Management and Risk / Compliance Management.

Responsibilities

• Oversee regulatory examinations and inquiries from London alongside the Global Regulatory Engagement Lead, primarily focused on APAC and EMEA jurisdictions, and manage all aspects of the examination process, including 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

Qualifications

• Bachelor’s degree in Finance, Law, Business or related field; Master’s degree preferred
• 10 years of experience in Regulatory Affairs, Compliance, and/or Risk Management, preferably at a banking or financial services organization or at a financial services regulator
• Substantial expertise in successfully delivering Regulatory Exams and Inquiries globally across various regulatory regimes
• Understanding of regulatory risk management, internal controls, root cause analysis, financial products, and services
• 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
• Enthusiastic, self-motivated, and effective under pressure
• Ability to work creatively and efficiently to build a program that’s deeply practical, risk-focused, and conscious of business and control partners’ needs
• Strong team player skills to guide organizational change and collaborate with key partners across various levels
• *Please note we use years of experience as a guide but we will consider applications from all candidates who can demonstrate the skills necessary for the role.*

We\'d love to see

• Experience interacting directly with APAC and EMEA regulators
• International experience, especially in Europe or Asia
• Knowledge of financial markets and products including financial technology, trading platforms and operations

If This Sounds 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, but in the meantime feel free to have a look at this:

https://www.bloomberg.com/company/

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