An exciting opportunity has arisen for a Vice President to join our Compliance LoB team (‘the team’). This role will support our market-leading and fast paced EMEA client and investment businesses. The role will report directly into the Head of the team to support them in their delivery of the compliance programme for these businesses.
- Advising and overseeing new product initiatives including, regulatory structuring, review of fund documentation, preparation of internal investment guidelines and sign-off of sales and marketing collateral.
- Oversight of the regulatory risks, and activities associated with the client businesses and portfolio management groups in EMEA (products and services).
- Providing advisory support in relation to the regulatory framework for our index tracking fund ranges.
- Liaising with portfolio managers, dealers and other investment staff including dealers in relation to the regulatory framework where required, including advising on UCITS eligibility, limits, and concentration, conduct of business requirements and the application of BlackRock compliance policies
- Leading Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives, by providing expert and timely value-added advice.
- Liaising with BlackRock Global Capital Markets team on regulatory matters including advising on application of Information Barrier policy and managing restricted lists process
- Further cementing the relationship between the team and business stakeholders and promote a first-class compliance culture
- Support the launch of new products and solutions for clients e.g., regulatory advice to the business on UCITS/AIFMD, pre- and post-trade monitoring, distribution matters, ESG matters, etc.
- Making a strong contribution to their team and the Compliance department’s provision of qualitative compliance advice, advisory support, and oversight.
- Knowledge of indices and benchmark regulation is preferred
- High levels of enthusiasm for supporting an innovative product development, marketing, and distribution strategy.
- Experience in Compliance information gatekeeping process, dealing with Wall crossing requests, market soundings and handling of MNPI would be an added advantage
- Self-motivation, the ability to work autonomously with minimal supervision and with high energy levels.
- Consistent ability to demonstrate high standards of professional accuracy and excellent attention to detail.
- The technical ability and mindset to deliver a solutions-driven approach and the judgment to use this in appropriate circumstances.
- Highly effective written and verbal communications skills. Able to articulate complex regulatory matters verbally and in writing and has well-developed relationship management skills
- Strong working knowledge of UCITS, AIFMD, MiFID requirements (including investment advice, product governance, costs & charges, client categorization, suitability, and research), FCA rules, conduct of business requirements and regulatory requirements in relation to the distribution of products and services in EMEA.
- At least 8 years of relevant experience working within a control function, ideally within Compliance or Legal, in the asset management industry.
- Demonstrable ability to influence a highly performing internal client base by delivering timely, credible, accurate and value-added advice.
- High degree of familiarity with FCA handbook and regulatory regimes relating to investment management including (but not limited to) MIFID II, MAR, Securitisation Regulation, LIBOR transition, would be beneficial.
Vacancy Type: Full Time
Job Location: London, England, United Kingdom
Application Deadline: N/A