Compliance Advisory – Exchange Traded Funds and Index Investments – Vice President


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.

Job Purpose:

  • The EII Compliance Advisory Team provides professional compliance advice and oversight to the various business divisions within the EII Businesses. These will include Product Development and Structuring, Sales/Distribution, Investment Strategy & Insights (“ISI”), Capital Markets and Index Equity Portfolio Management
  • The successful candidate will also have the opportunity to oversee advertising and marketing campaigns as a product subject matter expert in partnership with firm’s Marketing Compliance team.

Your Responsibilities:

  • Making a strong contribution to the team’s provision of Compliance advisory support and oversight for EII businesses, Product Development and index portfolio teams
  • Liaising with portfolio managers and other investment staff including dealers in relation to the regulatory framework, including advising on UCITS eligibility, limits and concentration, conduct of business requirements and the application of BlackRock compliance policies
  • Providing advisory support in relation to the regulatory framework for firm‘s index tracking fund ranges
  • Advising and overseeing new product initiatives including, regulatory structuring, review of fund documentation, preparation of internal investment guidelines and sign-off of sales and marketing collateral
  • Overseeing and liaison with third-party service providers, including depositories, trustees, administrators and fund accountants
  • Managing relationships with trustees/depositories, auditors and regulators, responding to regulatory requests and other information or audit requests
  • Leading Compliance participation in Compliance or business-driven projects, including regulatory developments and strategic initiatives, by providing expert and timely value-added advice
  • Advising on and interpreting UCITS guidelines in relation to investment decisions, issues and potential breaches
  • Contributing to the creation of management reporting and communication on Compliance matters to senior management, corporate and/or fund boards and BlackRock business stakeholders
  • Providing advice on the anticipation, impact assessment and response to regulatory development
  • Designing and delivering effective regulatory training initiatives to the business
  • Providing a robust framework for the distribution of a broad range of product on a cross-border basis
  • Overseeing certain high profile advertising and marketing campaigns.

Skills and Qualifications:

  • Knowledge of UCITS is vital. Additional experience of other fund structures would be an advantage
  • Extensive experience within a control function within the asset management industry, ideally within Compliance or Legal
  • Demonstrable ability to influence a highly-performing internal client base by delivering timely, credible, accurate and value-added advice
  • High levels of enthusiasm for supporting an innovative product development, marketing and distribution strategy
  • Highly effective written and verbal communications skills
  • Consistent ability to demonstrate high standards of professional accuracy and excellent attention to detail.
  • Self-motivation, the ability to work autonomously and high energy levels
  • The technical ability and mindset to deliver a solutions-driven approach and the judgment to use this in appropriate circumstances
  • Excellent organisational skills with ability to prioritise workloads, progress multiple tasks and adhere to deadlines
  • Ability to collaborate effectively both within the team and across functions
  • The strength of character to offer healthy challenge
  • High degree of familiarity with regulatory environment ex-UK or a genuine desire to develop such knowledge
  • As part of the broader EMEA Compliance Department, broader advisory experience across the asset classes and covering a range of jurisdictions would be a distinct advantage
  • Language skills would be a distinct advantage.

Source: for more information click here.

  • This job has expired!
Share this job


Get the latest career opportunities from Jobs in ETFs straight to your inbox.