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BlackRock is one of the world's preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors around the world. BlackRock offers a range of solutions — from rigorous fundamental and quantitative active management approaches aimed at maximizing outperformance to highly efficient indexing strategies designed to gain broad exposure to the world's capital markets. Our clients can access our investment solutions through a variety of product structures, including individual and institutional separate accounts, mutual funds and other pooled investment vehicles, and the industry-leading iShares® ETFs.
Business Unit Overview:
BlackRock's Compliance Department protects BlackRock's reputation and provides client focussed advice. It understands, challenges and advises on the impact of regulation in our business, with the objective of:
Actively participating in business decisions to champion our clients' interests and assist the business to translate Compliance into their daily work;
Have client interests at the centre of everything we do;
Cultivate and enhance the compliance culture within BlackRock;
Provide thought leadership on the impact and implementation of regulation;
Developing and fostering excellence within the Compliance team;
We have an open associate position within our busy compliance advisory team covering the below divisions of the business:
Active Equity ("AE")
Global Capital Markets ("GCM")
Trading Desk (EQ, FI and FX desks)
Active Equity, GCM and T&LS
Supporting BlackRock's Active Equity ("AE") division (which combines Fundamental Active Equity with Scientific Active Equity). This role will also involve liaison with BlackRock's Global Capital Markets team ("GCM") - on primary and secondary market issuances and the management of BlackRock's information barriers and restricted list processes.
Equity and Fixed Income and FX trading desks, Global Capital Markets, Securities Lending and Transition Management investment teams and the Active Equity Portfolio Management Teams which combines Fundamental Active Equity with Scientific Active Equity.
TLL is a global division with trading desks operating worldwide under a system of global order routing. Some knowledge of overseas regulation and sound business judgement are key requisites for this role along with the ability to successfully partner with a network of experienced compliance advisors around the globe.
The ideal candidate will be able to demonstrate relevant regulatory knowledge and experience within financial services having gained relevant experience with a 'buy-side' asset manager. Ideally, the candidate will have proven experience in a 'front office' advisory role, possibly within a trading environment offering demonstrative exposure to either equity, fixed income and/or derivative asset classes (or possibly all asset classes). We would also like to hear from candidates demonstrating a strong operational background in connection with MiFIR trade and transaction reporting, EU short selling regulation, SFTR. All candidates will need to demonstrate success in maintaining strong working relations on a local and possibly global stage.
Key responsibilities/elements of role will include:
Working with the team leads to provide qualitative compliance advice and support to the business including advice on regulatory change.
Liaising with portfolio managers and other investment staff including dealers on regulatory matters including the eligibility of instruments within portfolios and the application of BlackRock's compliance policies, e.g. error correction, fair allocation, best execution, inside information and wall-crossings, MiFIR trade and transaction reporting, short selling, EMIR and SFTR.
Liaising with portfolio managers and our Global Capital Markets team on regulatory matters including advising on application of Information Barrier policy, Restricted Lists and regulatory requests for information;
Provide support and advice on best execution, re-allocation requests and internal crossings.
Work on new product initiatives including review of fund documentation, preparation of internal investment guidelines and sign-off of sales and marketing collateral
Review requests for new research services and approval of research budgets under FCA Rules;
Review regulatory developments in areas of responsibility
Working on, and leading where required, specified compliance projects and initiatives; in connection with the interpretation and implementation of new regulation (e.g. SFTR
Provide input to regular reporting and communication on Compliance matters to senior management and corporate and/or fund boards and broader BlackRock business.
The ideal candidate will have compliance advisory experience within a 'buy-side' asset manager, excellent communication skills and a strong personality, combining energy, enthusiasm, resilience, tenacity, diplomacy and above all, sound judgement under pressure;
Self-motivated and solutions-driven with ability to use initiative and think laterally to navigate problems;
Ability to articulate complex issues in a clear and concise manner. Strong presentation skills and effective in writing;
High standard of accuracy and excellent attention to detail;
Excellent organisational skills - ability to prioritise workloads and adhere to deadlines;
Ability to collaborate across teams/functions and also work autonomously with minimal supervision;
Persuasive and influential in provision of Compliance advice to a high-performing internal client base;
Relevant experience within a compliance advisory function for a 'buy-side' asset manager;
Educated to degree level, possibly with a professional qualification e.g., ACA, CFA, IMC;
Strong working knowledge of FCA Rules and other EMEA regulatory requirements;
BlackRock's purpose is to help more and more people experience financial well-being. As a fiduciary to investors and a leading provider of financial technology, our clients turn to us for the solutions they need when planning for their most important goals. As of September 30, 2019, the firm managed approximately $6.96 trillion in assets on behalf of investors worldwide.
For additional information on BlackRock, please visit www.blackrock.com/corporate | Twitter: @blackrock |
BlackRock is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.
BlackRock will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law.