Compliance Investigations and Ethics Officer - Legal & Compliance

New York, NY

Posted May 24, 2024 - Requisition No. 125604

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, just 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 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.

We are seeking a candidate who will be responsible for supporting the overall management and enforcement of our Compliance Investigations and Code of Conduct. We are looking for an effective influencer, clear communicator, and strategic problem solver who is equally willing to roll up their sleeves and do the day-to-day work to review and address allegations of misconduct and support our Employee Compliance Program. In addition to handling all aspects of Compliance Investigations, you will provide assistance to support and enhance other programs including Anti-Bribery and Anti-Corruption, Personal Account Dealing, Conflicts of Interest and Electronic Communication surveillance, as needed.

You will drive education and awareness of these programs, instilling a strong culture of ethics and compliance throughout Bloomberg.

We’ll trust you to:

• Be responsible for the initial screening, timely and thorough investigation of allegations of potential violations by employees of Compliance Policies globally, including but not limited to Anti-Bribery and Anti-Corruption, Anti-Money Laundering, Sanctions, Conflicts of Interest, Undisclosed Outside Business Activities, and Anti-Trust, raised through Bloomberg’s anonymous hotline or directly to HR, Compliance, or other business units

• Act with independence, confidentiality, discretion, and integrity

• Ensure a thorough and comprehensive investigation of the alleged violation is performed, including the collection of documentation and/or evidence, electronic communication reviews, data analyses and interviews

• Prepare timely and concise final investigation reports summarizing allegations, investigative work performed, key findings and conclusions, ensuring that conclusions are evidence based

• Recommend next steps required to successfully resolve any identified issues including disciplinary action (as appropriate) in support of investigation findings. Align with key stakeholders to gain appropriate consensus and support. Ensure corrective action plans are timely completed

• Present ongoing updates and findings, as well as insightful quarterly and annual reports, to stakeholders, and senior management

• Identify and track relevant metrics to identify emerging trends and themes and offer recommend actions

• Review and improve upon Bloomberg’s Code of Conduct, as well as policies and procedures for compliance investigations review, actions, and documentation and other policies that support the employee experience

• Foster strong working relationships and collaboration with key investigative partners (Human Resources, Legal and Chief Information Security Office) including building strong networks, active participation in monthly meetings, ensuring ongoing collaboration, and identifying opportunities for improvement

• Act as a change agent to identify and provide solutions for enhancements and efficiencies in the Compliance investigative process

• Utilize case management system and other company tools to document findings and evidence

• Stay abreast of relevant regulatory requirements, including regarding whistleblowing regulations

• Develop and implement company-wide and target training on Ethics, Code of Conduct, and other related policies/procedures; and develop and manage a communications plan

You’ll need to have:

• A minimum of 7 years' experience conducting complex workplace investigations

• A Bachelor’s Degree

• Excellent critical thinking and problem-solving skills

• Strong understanding of best practices related to conducting investigations

• Ability to interact and communicate complex issues to a wide range of stakeholders, including executives

• Proven project and time management skills with the ability to juggle multiple priorities

• Ability to work in a fast-paced environment

• A demonstrated ability to analyze data and produce metrics

• Strong written and oral presentation skills

• Strong experience performing management reporting and metrics

• Ability to build solid relationships at all levels and influence collaborative outcomes

• Self-motivated and with excellent attention to detail and accuracy

We’d love to see:

• Experience managing global investigations

• A JD

• Strong Excel, PowerPoint and Visio skills

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 AMERrecruit@bloomberg.net (Americas), EMEArecruit@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.

Salary Range: 180,000 - 210,000 USD Annually + Benefits + Bonus

The referenced salary range is based on the Company's good faith belief at the time of posting. Actual compensation may vary based on factors such as geographic location, work experience, market conditions, education/training and skill level.

We offer one of the most comprehensive and generous benefits plans available and offer a range of total rewards that may include merit increases, incentive compensation [Exempt roles only], paid holidays, paid time off, medical, dental, vision, short and long term disability benefits, 401(k) +match, life insurance, and various wellness programs, among others. The Company does not provide benefits directly to contingent workers/contractors and interns.