Compliance Surveillance Analyst

  • Competitive
  • Budapest, Budapest fovaros, Hungary Budapest Budapest fovaros HU
  • Permanent, Full time
  • BlackRock
  • 14 Aug 18 2018-08-14

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 June 30, 2018, the firm managed approximately $6.3 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 June 30, 2018, the firm managed approximately $6.3 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:

Budapest

At BlackRock we are building something great in Budapest, our new global technology and Innovation hub, where we want to shape a culture in which challenge, development and innovation happen every day. Our mission as an organisation is create a better financial future for our clients and BlackRock Budapest will enable this, through a relentless drive to make ourselves and our communities better. We are a diverse bunch of people who like to analyse, reinvent, and enhance how we work, and all in the pursuit of a better experience for our colleagues and clients. We offer The excitement to be a founder in a start-up with the security of a global, leading organization, where you will find innovation and inclusion are our competitive advantages. There are limitless problems to solve and opportunities for learning and development, alongside a team of clever and caring colleagues. Our culture is one of respect, challenge and stretch and we expect and value feedback. We believe that people reach their best potential when the different facets of their home, work and community are all cared about. We will have a fun, fast paced work environment located in cutting edge facilities, with competitive and innovative benefits, and the ability to define your role, pursue your aspirations and shape your future within Hungary and beyond.

Business Unit Overview:

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 to champion our clients’ interests and assist the business to translate Compliance into their daily work
  • Have client interests at the center of everything we do
  • Cultivate and enhance the compliance culture within BlackRock
  • Provide thought leadership on the impact and implementation of regulation
  • Developing and fostering excellence within the Compliance team

Job Purpose/Background:

The communications surveillance program includes the review of communications that are identified for further review, as well as a routine sampling of all email communications. The Communication Surveillance Analyst is responsible for reviewing broker/dealer correspondence flagged by the firm’s surveillance software for potential violations of firm policy or industry rules. This position will work closely with other internal departments such as Legal and Compliance and Human Resources, and will interact with the various business groups of the individuals whose communications are subject to review.

The successful candidate will be very detail oriented and inquisitive, have strong analytical & critical thinking skills and have the ability to bring issues to resolution.

Responsibilities

  • Work with direct supervisors and management to investigate potential issues
  • Review emails; ensuring compliance with all internal procedures and applicable industry regulations
  • Work with internal resources, Designated Supervisory Principals Representatives and others to handle escalated communications
  • Build and maintain a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies) and on technology and system functionality
  • Identify and implement process improvements within existing procedures –Include for Team Lead JD
  • Measure, track, analyze, and report statistical data –Include for Team Lead JD
  • Demonstrate sound judgment while resolving issues
  • Maximize existing reporting resources and develop additional resources, as regulatory and business needs require –Include for Team Lead JD

    Education

  • Undergraduate degree (or local equivalent)
  • Proficient in English

    Experience

  • 2+ years of experience in Financial Services that directly aligns with the specific responsibilities for this position
  • Regulatory experience in financial services (Federal/state/local equivalent, Self-Regulatory Organization/Equivalent) a plus
  • Financial Services industry experience preferably in a compliance or supervisory role required.
  • A demonstrated track record of consistently meeting and/or exceeding performance expectations
  • Possesses a bias for action and avoids workplace distractions
  • Drives performance targets to completion

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 criminal histories in a manner consistent with the requirements of the law, including any applicable fair chance law.