BlackRock Americas Investments Compliance Advisory, VP

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • BlackRock
  • 25 Sep 16

BlackRock Americas Investments Compliance Advisory, VP

As a member of the Americas Investments Compliance Advisory group, this individual would assist in supporting the Americas Fixed Income and Cash portfolio management teams in addition to the Separately Managed Account (SMA) business. BlackRock's fixed income unit includes fundamental, model-based, index and alternative strategies located in New York, Princeton and San Francisco. The cash business includes both Rule 2a-7 and non 2a-7 products and is situated in Philadelphia. The SMA group is also positioned in Princeton.

The individual would support the preparation and review of policies and procedures, provide compliance support and analysis for business, firm-wide and Legal & Compliance initiatives, and be responsible for performing tasks related to various control functions administered by the team. In addition, there are many global policies, procedures and processes that require coordination with business and Legal & Compliance colleagues in the EMEA (Europe, Middle-East and Africa) and Asia Pacific regions.

This individual would also be a contributing member to the Client and Consultant Advisory Compliance Program providing support for compliance aspects of client and consultant meetings and presentations, RFP response development, and overall framework design.

Lastly, the individual would assist with several other centralized compliance functions that are administered by the Americas ISG Advisory team.

Key Responsibilities:

•Preparation and review of policies and procedures
•Lead and/or participate in projects initiated by the business, Legal & Compliance, or the firm
•Partner closely with the business, and serve as a primary point of contact for regulatory compliance questions related to fixed income and cash portfolio management and trading
•Assistance with managing fixed income, cash and SMA related matters associated with MNPI information barriers, reallocations, surveillance escalation items, and client due diligence meetings
•Support for various compliance programs that are administered by the team, including Expert Networks and Political Intelligence Firms
•Analysis and implementation of existing and new regulations
•Provide support and back-up for broader Americas related initiatives and tasks


•5-10 years of asset management, consulting, or regulatory experience
•Strong knowledge of the US federal securities laws; knowledge of other US and non-US regulatory requirements (e.g., FCA, CFTC, OCC) a plus
•Strong attention to detail
•Effective project management skills
•Ability to manage multiple tasks effectively, strong organizational skills
•Prior experience providing compliance support to fixed income, cash and/or SMA portfolio management and trading teams
•Proficient in Excel, Word and PowerPoint
•Strong written/oral communication, organizational, and interpersonal skills
•Ability to work as part of a team and independently in a fast-paced environment
•Bachelor's degree required

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.