Vice President, Corporate Compliance

Gurgaon, India
24 Apr 2023
25 May 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

About this role

BlackRock Team

The Core Compliance team establishes and oversees Compliance requirements for employee-related activities and evaluates adherence to these requirements to avoid perceived or actual conflicts. Scope of oversight includes personal trading, gifts and entertainment, outside activities, private investments, and activities through advising employees on requirements; and monitoring employee adherence and applying restrictions as needed.

Job Role and Impact
  • The individual will be a team lead and partner with (or lead) team members to build the Core Compliance brand through effective stakeholder engagement and driving key regional and/or global projects. The individual will ideally have experience running operational and/or compliance risk management-related processes and driving high-profile projects and will be comfortable providing subject matter expertise to support the development of operational procedures and implementation of revised frameworks in relation to the areas noted above. The role includes significant engagement with individuals at all levels across all business areas globally including APAC and offers an opportunity to bring fresh perspectives and innovation to drive evolution of processes. The individual will therefore ideally have strong written and verbal communication skills and be comfortable in dealing with stakeholders at all levels.
  • Help ensure BlackRock is regarded, and continues to be regarded, by regulators and peers as a company with high compliance standards
  • Help in building a strong compliance culture within BlackRock
  • Developing and fostering excellence within the Compliance team

Job Responsibilities
  • Execute routine Core Compliance review, monitoring, and escalation processes, including for employee activities such as personal trading, outside activities, gifts and entertainment.
  • Lead the team purposefully and with clear direction.
  • Support and implement employee activity/related compliance policies to assure compliance with key underlying regulatory and policy requirements
  • Seek opportunities within Core Compliance frameworks to bolster controls and assure transparency and enhanced issue identification through relevant metrics / reporting measures.
  • Maintain up to date knowledge of changes in key regulatory requirements impacting the above-mentioned processes. This also includes analysis of risks identified as part of the BAU processes.
  • Collaborate and work closely with regional Core Compliance teams to ensure consistency in approach and connectivity.
  • Support and/or lead (as applicable) ongoing evolution of Core Compliance program, including but not limited to, process and control re-underwriting, technology enhancements.
  • Participation in related projects, including broader Enterprise Compliance transformational efforts and activities providing SME content to the business and L&C stakeholders.
  • Provide advisory to employees on policy and procedural matters relating to employee policies and conflict of interest.
  • Ability to assess risk and conflict of interest by following the policies and procedures.
  • Drive Creation and maintenance of accurate and up to date departmental records, desktop procedures and other supporting materials
  • Ensure the delivery of timely and accurate processing of global process cetraliased for Core Compliance.
  • Efficient dissemination of Management Information and reporting globally and regionally.
  • Providing training across the various Business Groups in APAC on related Compliance policies and procedures.

Job Requirements
  • Post graduate degree with 10-12 years of relevant team handling experience in financial industry
  • Experience in asset management or investment banking environment.
  • Preferably 5-6 years of experience into Employee and Corporate Compliance experience and in leading global/regional teams.
  • Experience working in an employee compliance, conflicts or code of conduct related function (personal trading, outside activities, gifts and entertainment, and U.S. political contributions and activities)
  • Experience as a team leader on prior team, or leading projects across stakeholder groups
  • Strong general risk management and/or Compliance experience beneficial
  • Strong operational, analytic and/or project management experience beneficial
  • Experience and understanding of personal conflicts which exist within asset management / financial industry
  • Knowledge, understanding and awareness of current regulatory landscape
  • Ability to work independently with minimal supervision on multiple projects/initiatives
  • Strong interpersonal skills with a demonstrated ability to work well in a team-based environment and interact and communicate effectively - written and verbal - with senior personnel, clients, and other stakeholders.
  • Strong organizational skills with ability to motivate and work with the team to get the best desired output for the function and the organization.
  • High standard of accuracy and eye for detail with focus on data analysis and problem-solving capabilities
  • Proficiency in Microsoft Word, PowerPoint, and other system applications
  • High proficiency with Excel and ability to manage data
  • Excellent time management and organizational skills
  • Proactive and self-motivated with a "can do" attitude and an ability to use own initiative.
  • Ability to interact with employees at all levels and work with multiple teams and colleagues across geographies in a matrix driven organization

Our benefits

To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.

Our hybrid work model

BlackRock's current hybrid work model is designed to enable in-person connections and collaboration that is core to our culture, while supporting increased flexibility for all employees. In line with local health guidance and regulations, employees are required to work at least 3 days in the office each week, with the flexibility to work from home up to 2 days a week. Some business groups may require more time in the office due to their roles and responsibilities. The health, safety and well-being of our people will always be our top priorities; we will continue to monitor local conditions and health advisories in making decisions about our work environments.

About BlackRock

At BlackRock, we are all connected by one mission: to help more and more people experience financial well-being. Our clients, and the people they serve, are saving for retirement, paying for their children's educations, buying homes and starting businesses. Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress.

This mission would not be possible without our smartest investment - the one we make in our employees. It's why we're dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive.

For additional information on BlackRock, please visit | | Instagram: @blackrock | Twitter: @blackrock | LinkedIn:

BlackRock is proud to be an Equal Opportunity Employer. We evaluate qualified applicants without regard to age, disability, family status, gender identity, race, religion, sex, sexual orientation and other protected attributes at law.
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