Compliance Manager - Vice President

  • Not Specified
  • Sydney, New South Wales, Australia Sydney New South Wales AU
  • Permanent, Full time
  • BlackRock
  • 18 Apr 18 2018-04-18

BlackRock helps investors build better financial futures. As a fiduciary to our clients, we provide the investment and technology solutions they need when planning for their most important goals. As of December 31, 2017, the firm managed approximately $6.288 trillion in assets on behalf of

BlackRock helps investors build better financial futures. As a fiduciary to our clients, we provide the investment and technology solutions they need when planning for their most important goals. As of December 31, 2017, the firm managed approximately $6.288 trillion in assets on behalf of investors worldwide. For additional information on BlackRock, please visit www.blackrock.com | Twitter: @blackrock | Blog: www.blackrockblog.com | LinkedIn: www.linkedin.com/company/blackrock.

Job Description:

To work within the Compliance team, assisting to undertake more complex compliance activities and the oversight and administration of compliance procedures.



Major Responsibilities:

  • Undertake regular compliance monitoring, surveillance and reporting activities and supervise junior members of the Compliance Team
  • Maintain Exceptions database and oversee the resolution of exceptions. Ensure all records are maintained of breaches and any breach notifications made to ASIC/APRA and the Compliance Committee as required
  • Undertake Compliance reviews and audits independently and supervise junior members of the Compliance Team in their conduct of such reviews and audits
  • Oversee the administration and operation of existing compliance policies and procedures in a range of areas - including Staff Trading, Code of Business Conduct, Conflicts of Interest and Insider Trading Policies
  • Assist in the drafting and review of business policies – including trading policies, administration, unit pricing and related – and supervise junior members of the Compliance Team
  • Prepare and undertake regulatory lodgements as required
  • Oversee Compliance Monitoring Program and supervise junior members of the Compliance Team
  • Oversee range of Compliance Registers
  • Liaise with and assist internal and external auditors
  • Review of regulatory changes and oversee implementation within the firm
  • Maintain Compliance Program which aims to ensure BlackRock maintains its regulatory approvals.
  • Compliance Plan Oversight (including ensuring each registered scheme has a Compliance Plan, Compliance Plan oversight, monitoring, updating and reporting)
  • Coordinate preparation of quarterly reporting to the external compliance committee.


Experience, Skills & Knowledge Required:

  • Qualification in Law, Accounting or Investment Discipline preferred but not essential. Prior experience as a compliance professional (equivalent to five or more years) ideal
  • Strong working knowledge of Corporations Law, regulatory requirements and exposure to financial services industry.
  • Excellent numerical, analytical and organisational skills
  • Strong verbal and written communication and presentation skills
  • Advanced knowledge of Word, Excel, and Access


Qualities:

  • Attention to detail
  • Ability to work without close supervision, make decisions and meet deadlines
  • Confidence and ability to communicate effectively at all levels within the firm and with external committee members, consultants and clients
  • Demonstrated ability to work effectively within a team environment
  • Demonstrated ability to identify and resolve issues
  • Demonstrated desire to enhance technical abilities and to gain exposure to a wide variety of products
  • Take active steps to redress any conduct by staff which is known to be inconsistent with BlackRock principle, compliance policies and procedures

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, disability, veteran status, and other statuses protected by law.