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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.
Legal and Compliance at BlackRock:
BlackRock's Compliance Department protects BlackRock's reputation and provides advice to the business focused on ensuring the protection of our clients' best interests. The department operates in a dynamic environment with the team focused on understanding evolving business strategy, as well as advising 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 in translating compliance into their daily work and decision making;
Putting client interests at the center of everything we do;
Cultivating and enhancing BlackRock's compliance culture;
Providing thought leadership on the impact and implementation of regulation to our business and to the market; and
Developing and fostering excellence within the Compliance team.
In conjunction with Legal, the Compliance team oversees BlackRock's compliance with applicable laws and regulations and is responsible for, among other things, establishing legal and compliance policies and procedures that meet applicable regulatory requirements and testing the effectiveness of those policies and procedures, overseeing regulatory matters, and providing compliance training.
We are seeking a seasoned compliance professional to play a leading role in supporting BlackRock's Credit business, including the Private Credit team focused on middle market performing credit and corporate special situations opportunities located in Santa Monica. This Alternatives investment team includes approximately 35 investment professionals with expertise across 19 industry verticals.
The successful candidate will be able to effectively manage compliance risk, address conflicts of interest, and help ensure compliance with regulatory requirements and applicable BlackRock policies and procedures. This role reports into the Americas Head of Fixed Income, Credit, Financial Markets Advisory (FMA), Trading, and Lending and Liquidity Strategies Advisory Compliance.
Partner closely with the Private Credit business, and serve as a primary point of contact for regulatory compliance questions, conflict of interest inquiries, and compliance matters related to strategic initiatives
Manage private credit related matters associated with MNPI information barriers and conflicts of interest
Preparation and review of policies, procedures, processes and controls
Implementation and enhancement of compliance programs/controls frameworks relevant to regulatory risks and requirements around sophisticated credit investing
Execution of periodic testing and oversight of investment team activities
Provide support and back-up for broader Americas Advisory Compliance related initiatives and tasks
Manage surveillance escalation items, key management reporting metrics, client due diligence meetings and Board materials
Analysis and implementation of existing and new regulations
5-8 years of buy-side or sell-side compliance experience including serving as a private credit subject matter expert (SME)
Strong knowledge of the US federal securities laws; expertise in business development companies a plus
Robust track record supporting compliance frameworks related to sophisticated credit strategies
Excellent communication, judgment, and business partnership skills across time zones is expected
Ability to make decisions and exercise discretionary authority is necessary to successfully fulfill this role
Have a proactive approach to business issues, identifying areas of improvement and enhancement including automation of processes
Strong interpersonal and communication skills (written and verbal), including the ability to take complex subject matter and make it simple to understand
Ability to work in a fast paced, collaborative environment with multiple competing priorities
Organized and detail-oriented with strong time management and multi-tasking skills
Proficient in Microsoft Excel, Word and PowerPoint
Bachelor's degree required; Master's or law degree preferred
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.
We recruit, hire, train, promote, pay, and administer all personnel actions without regard to race, color, religion, sex (including pregnancy, childbirth, and medical conditions related to pregnancy, childbirth, or breastfeeding), sex stereotyping (including assumptions about a person's appearance or behavior, gender roles, gender expression, or gender identity), gender, gender identity, gender expression, national origin, age, mental or physical disability, ancestry, medical condition, marital status, military or veteran status, citizenship status, sexual orientation, genetic information, or any other status protected by applicable law. We interpret these protected statuses broadly to include both the actual status and also any perceptions and assumptions made regarding these statuses.
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.