Vice President, Advisory Compliance

London, United Kingdom
Not Specified
Sep 04, 2019
Sep 13, 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About this role

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 rigorous 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.

Business Unit Overview:

BlackRock's Compliance Department protects BlackRock's reputation and provides client focussed 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 centre 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;

Role Description:

We currently have a vacancy within our busy Regulatory Compliance team in London responsible for providing qualitative compliance advice to our trading and liquidity strategies teams and Active Equity. This is an exciting opportunity to join a small specialist team of experienced compliance advisers. The successful candidate will be based in London, BlackRock's largest office, and will assist the EMEA Lead in providing compliance coverage for Equity and Fixed Income and FX trading desks, Global Capital Markets, Securities Lending and Transition Management investment teams and the Active Equity Portfolio Management Teams which combines Fundamental Active Equity with Scientific Active Equity.

TLL is a global division with trading desks operating worldwide under a system of global order routing. Some knowledge of overseas regulation and sound business judgement are key requisites for this role along with the ability to successfully partner with a network of experienced compliance advisors around the globe.

Active Equity ('AE') Supporting BlackRock's Active Equity ("AE") division (which combines Fundamental Active Equity with Scientific Active Equity). This role will also involve liaison with BlackRock's Global Capital Markets team ("GCM") - on primary and secondary market issuances and the management of BlackRock's information barriers and restricted list processes.

The ideal candidate will be able to demonstrate relevant regulatory knowledge and experience within financial services having gained at least 5 years relevant experience with a major global asset manager, broker dealer or investment bank. Ideally, the candidate will have proven experience in a 'front office' advisory role, possibly within a trading environment offering demonstrative exposure to either equity, fixed income and/or derivative asset classes (or possibly all asset classes). We would also like to hear from candidates demonstrating a strong operational background in connection with MiFIR trade and transaction reporting, EU short selling regulation and EMIR. All candidates will need to demonstrate success in maintaining strong working relations on a local and possibly global stage.

Key responsibilities/elements of role will include:

  • Supporting the head of the team and global counterparts in providing qualitative compliance advice to all business units comprising T&LL and AE ensuring that regulatory issues are properly dealt with or escalated appropriately;
  • Liaising with portfolio managers, dealers and other investment staff on regulatory matters including the eligibility of instruments within portfolios and the application of BlackRock's compliance policies, e.g. error correction, fair allocation, best execution, inside information and wall-crossings, MiFIR trade and transaction reporting, short selling, EMIR and SFTR.
  • Liaising with portfolio managers and our Global Capital Markets team on regulatory matters including advising on application of Information Barrier policy, Restricted Lists and regulatory requests for information
  • Review requests for new research services and approval of research budgets under FCA Rules;
  • Working with global counterparts in the US and APAC to ensure a level of consistency globally, leveraging best practice wherever possible;
  • Working as part of a global team responsible for BlackRock's information barriers, policies and procedures and restricted list processes;
  • Providing support to business operations functions on regulatory reporting issues;
  • Preparation and delivery of reports and presentations to department and business unit management, management company boards and regulatory bodies as required;
  • Advice on Takeover Panel issues;
  • Liaising with portfolio managers and our Global Capital Markets team on regulatory matters including advising on
  • Responsible for ensuring timely advice and support on compliance matters related to business projects and business strategy;
  • Provide support and advice on best execution, re-allocation requests and internal crossings
  • Acting as an alternate for the team lead on global oversight committees (ETOC, FITOC and SLFTOC);
  • Acting as an alternate for the team lead on best execution oversight;
  • Working on, and leading where required, specified compliance projects and initiatives; in connection with the interpretation and implementation of new regulation (e.g. SFTR)


  • The ideal candidate will have compliance experience within a trading environment and /or within a 'buy-side' asset manager, excellent communication skills and a strong personality, combining energy, enthusiasm, resilience, tenacity, diplomacy and above all, sound judgement under pressure;
  • Ability to articulate complex issues in a clear and concise manner. Strong presentation skills and effective in writing;
  • High standard of accuracy and excellent attention to detail;
  • Excellent organisational skills - ability to prioritise workloads and adhere to deadlines;
  • Ability to collaborate across teams/functions and also autonomously with minimal supervision;
  • Excellent knowledge of either equity, fixed income and/or derivative asset classes;
  • Knowledge of Securities Lending, Transaction Reporting, Short Selling and EMIR a distinct advantage.


  • 5+ years financial services experience with a focus on regulation;
  • Educated to degree level, possibly with a professional qualification e.g., ACA, CFA, IMC;
  • Strong working knowledge of FCA Rules and other EMEA regulatory requirements;
  • Self-starter. Ability to drive forward work plans under little supervision;
  • Collaborative team player;
  • Strong written/oral communication;
  • Ability to prioritise workloads and adhere to deadlines;
  • High standard of accuracy and excellent attention to detail;

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 June 30, 2019, the firm managed approximately $6.84 trillion in assets on behalf of investors wor
ldwide. For additional information on BlackRock, please visit | Twitter: @blackrock | Blog: | 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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