Communications Surveillance Team Associate Communications Surveillance Team Associate …

in New York, NY
Permanent, Full time
Be the first to apply
in New York, NY
Permanent, Full time
Be the first to apply
Communications Surveillance Team Associate

About this role

BlackRock Communications Surveillance Team - Associate

New York

BlackRock is one of the world's preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors around the world. BlackRock offers a range of solutions - from meticulous fundamental and quantitative active management approaches aimed at maximizing outperformance to highly efficient indexing strategies designed to gain broad exposure to the world's capital markets. Our clients can access our investment solutions through a variety of product structures, including individual and institutional separate accounts, mutual funds and other pooled investment vehicles, and the industry-leading iShares® ETFs.

We know you want to feel valued every single day, and be recognized for your contribution. At BlackRock, we strive to empower our employees and actively engage your involvement in our success. With over USD $7.8 trillion of assets we have an extraordinary responsibility: our technology and services empower millions of investors to save for retirement, pay for college, buy a home and improve their financial well-being. Come join our team and experience what it feels like to be part of an organization that makes a difference.

Business Unit Overview:

Blackrock's Compliance Department protects Blackrock's reputation and provides customer 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 foster 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 improve the compliance culture within BlackRock
  • Provide thought leadership on the impact and implementation of regulation
  • Developing and encouraging excellence within the Compliance team

Job Purpose/Background:

The communications surveillance program includes the review of electronic communications that are identified via BlackRock's electronic communications surveillance platform for further review based on firm-established flagging rules, as well as routine sampling. The Communication Surveillance Associate is responsible for maintaining policies and procedures, handling use of the surveillance software, producing monthly management information and reviewing the electronic correspondence flagged by the firm's surveillance software and escalate potential violations of firm policy or industry rules. This position will work closely with other departments 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.

  • Own the implementation of the new surveillance tool (Digital Reasoning)
  • Review electronic communications to assess compliance with all internal procedures and applicable industry regulations
  • Facilitate the integration of the Advisor and Broker Dealer Communications Surveillance teams.
  • Work with internal resources, managers 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
  • Measure, track, analyze, and report statistical data and management information.
  • Demonstrate good judgment while resolving issues
  • Maximize existing reporting resources and develop additional resources, as regulatory and business needs require
  • Review regulatory releases and enforcement matters involving electronic communication surveillance

  • Undergraduate degree
  • Proficient in English

  • 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

Our benefits

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

BlackRock's purpose is to help more and more people experience financial well-being. As a fiduciary to investors and a leading provider of financial technology, our clients turn to us for the solutions they need when planning for their most important goals. As of September 30, 2020, the firm managed approximately $7.81 trillion in assets on behalf of investors worldwide.  

For additional information on BlackRock, please visit | Twitter:  @blackrock | LinkedIn: .

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.
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