Corporate Compliance Associate
Description About this role Overview
This is an exciting opportunity to join the SMCR Compliance team within BlackRock's Legal & Compliance ("L&C") function. This role will be focused on supporting BlackRock and our employees, in ensuring compliance with the UK Senior Manager & Certification Regime ("SMCR").
The successful candidate will be joining a team of 6 based in both London and Budapest. This role offers the opportunity to work in close partnership with colleagues across the EMEA Legal & Compliance EMEA and to engage broadly with business colleagues across the breadth of BlackRock's businesses.
The SMCR Compliance team is responsible for the application of SMCR requirements across our business for all UK regulated entities, working closely with Human Resources, Company Secretarial teams, Business groups operating in the UK and their respective senior management teams.
The successful candidate will be able to demonstrate strong communication, stakeholder management, problem solving and influencing skills and should be comfortable dealing with employees across a range of seniority levels. The ability to manage your time and deliver to deadlines under pressure will also be vital.
An in-depth knowledge of the requirements and expectations of the SMCR would be beneficial but is not essential. Experience of managing other volume-driven operational programs in a fast-paced environment would be advantageous. Key Responsibilities:
Build strong working relationships with key stakeholders - including Legal & Compliance colleagues, HR, business COO teams and senior business representatives
Collaborate with colleagues based in London to run and maintain processes conducted by the Budapest SMCR team, including:
- Maintenance of SMCR related policies, procedures, training material and guidance documentation
- Identification process for Certified population (CP), and associated tagging in relevant systems
- Initial and ongoing induction meetings within scope CP 'trainee' population
- Tracking of CP 'trainee' population to ensure all pre-requisite checks have been completed before an employee is certified
- Monthly and quarterly reconciliation of CP population to ensure accuracy across platforms
- Support the initial and annual Fit & Proper (F&P) assessment processes
- Support investigations related to potential Conduct Rule breaches
- Support internal and external reporting requirements including regulatory Conduct Rule breach reporting
- Provide input and advice to HR in relation to regulatory references, mandatory trainings, and flow of data from HR systems into the SMCR Tool
- Support employee education regarding Conduct Rule requirements and responsibilities
- Support and provide input into changes required to SMCR and HR tools to ensure processes and technology solutions remain compliant with changes in regulation or business model What you bring to the table:
Curiosity and enthusiasm to learn will be vital
Strong track record of building and maintaining great working relationships with senior stakeholders - confident, eager communicator
Managing operational processes with an eye for potential risk identification
Strong written and verbal communication skills
Ability to interact with stakeholders at all levels of the business, including external parties such as the FCA
Ability to navigate a complex matrix of accountability and stakeholders
Ability to coach and distil technical requirements into simple and easy to understand advice for business stakeholders
Strong organizational skills
S elf-motivated, collaborative team player
High standard of accuracy and excellent attention to detail
Strong analytical skills
Ability to work in and enjoy, a fast-paced and dynamic working environment
Ability to drive projects forward independently and deliver to deadlines
2+ years sector experience working within an asset management or investment banking environment
Knowledge and awareness of current UK regulatory landscape, and a keen interest in the direction of travel
Fantastic opportunity to work as a key member of a dynamic, evolving Legal & Compliance function.
Great opportunity for an individual to connect and build relationships within the Legal & Compliance function globally and across the BlackRock's businesses more broadly.
Opportunity to be a key member of the team supporting the management of significant and influential regulation across the UK business, providing the opportunity to develop deep subject matter expertise.
Provides the opportunity to demonstrate and develop skills in relation to innovation, problem solving, focus, resiliency whilst delivering high profile, high impact work.
Multi-faceted role with potential for development of a long-term career within the firm.
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. 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 careers.blackrock.com | www.blackrock.com/corporate | Instagram: @blackrock | Twitter: @blackrock | LinkedIn: www.linkedin.com/company/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.