BlackRock Trading Advisory Compliance, VP

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

BlackRock Trading Advisory Compliance, VP

BlackRock's Compliance Department protects BlackRock's reputation and provides client focused advice. It understands challenges and advises on the impact of regulation in our business with the objective of:

•Actively participating in business decisions in order to champion our clients' interests,
•Collaborating with the business to position Compliance centrally into their daily work;
•Ensuring that client interests are at the center of everything we do;
•Cultivating and enhancing the compliance culture within BlackRock;
•Providing guidance, analysis and advice on the impact of the regulatory framework on the business and its clients;
•Developing and fostering excellence within the Compliance team

As a member of the Trading Advisory Compliance team, this individual will assist in supporting trading teams that specializes in executing various investment products, including cash and derivative products.

The individual will report to the Global Lead of Trading Compliance and support the preparation and review of policies and procedures, provide compliance support and analysis for firm-wide trading 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.


•In alignment with the global trading compliance program, implement and maintain a cohesive, risk-based compliance program;
•Maintain and enhance, as required, policies, procedures and processes regarding a variety of regulatory and reputational matters
•Primarily responsible for supporting and enhancing the proprietary cross trading platform and derivative compliance program (e.g., futures, swap margin rules)
•Partner with the Transactional Surveillance and Forensic Testing Team to identify and investigate escalation items;
•Advise the business on their day-to-day operations as well as their strategic initiatives;
•Develop and deliver effective training programs;
•Respond to regulatory requests and other information requests;
•Advise on regulatory reform and implementation; and
•Provide regular reporting and communication on Compliance matters to key stakeholders.


•Bachelor's degree required; Master's or law degree a plus
•5-10 years of compliance experience in financial industry
•Extensive experience with fixed income and cash instruments and the development, implementation and management of regulatory compliance programs.
•Good understanding of the US federal securities laws and derivative rules.
•Excellent organizational skills and detail oriented.
•Must have superior skills in MS Word, Excel, and PowerPoint.
•Ability to perform in a fast paced environment and interact with senior management under highly demanding conditions.
•Strong analytical, interpersonal and communication skills.
•Strong time management skills; ability to handle multiple concurrent assignments with a high degree of accuracy and meet deadlines in a high pressure environment.
•Self-starter with the ability to work independently and with minimal guidance.

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.