Director – Aladdin Business, Client Analytics Group (Tokyo)
Role Aim/Purpose:To work within the Compliance team, assisting to undertake more complex compliance activities and the oversight and administration of compliance procedures.
- 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
- 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
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Vice President, Quality Engineering
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