A Director/Vice President level role has become available leading BlackRock’s Americas Regulatory Risk Assessment and Compliance Thematic Monitoring team based in New York. The team is part of the wider Americas Regulatory Risk & Review team which sits within the Americas Legal & Compliance function. The Americas Regulatory Risk and Review team is responsible for identifying, assessing Regulatory Compliance risk for the Americas region, planning and undertaking thematic and targeted compliance testing and for post trade transaction surveillance.
The successful candidate will report directly into the Americas Head of Regulatory Risk & Review who is based in New York.
(Transaction Surveillance is covered by a separate team and is not within the scope of this role.)
The role of Head of Americas Thematic Monitoring is a high profile role within the Americas Compliance department and is set at Vice President or Director Level. The ideal candidate will have strong, relevant experience within the financial services industry and a track record managing and developing teams of high performing individuals.
The role will require the successful candidate to engage with or report to, various Chief Compliance Officers (“CCO’s”) and Governance fora and as such the successful candidate should have a proven track record of delivery, strong communication skills and confidence engaging with and managing ongoing relationships with, senior stakeholders. The expectation is that the candidate will have previously held senior roles in Compliance and/or in Regulatory or similar consultancy at a Big 4 firm. The candidate will have previous experience in understanding and articulating internal control frameworks as well as a strong understanding of regulatory risk assessment and the management of a regulatory risk based review program. The candidate will be aware of the SEC’s (and ideally other US regulators’) current expectations in relation to regulatory risk assessment and monitoring activity within a US registered investment advisory firm. The candidate may also have lead the delivery of formal regulatory review activity while working at a Big 4 consultancy firm.
The ideal candidate will have substantial asset management compliance experience, excellent written and verbal communication skills, and a strong personality, combining energy, enthusiasm, resilience, tenacity and diplomacy.
Key Responsibilities:
Responsibility for the ongoing evolution of the Americas Risk Assessment Framework, including opportunities to drive the framework forward globally and drive forward the Global programme.
Responsibility for the development and delivery of the Americas program of Thematic Monitoring reviews and for ensuring that the program remains relevant and appropriate throughout the year.
Ensure delivery of Thematic Monitoring reviews in line with approved risk based plan.
Management oversight, training and ongoing development of the Americas team of high performing professionals.
Building relationships with key business stakeholders within US and Globally.
Fostering strong working relationships with the Regional heads of Thematic Monitoring in the EMEA and Asia Pacific.
Coordination with other Americas control functions, such as Internal Audit and Operational Risk, in addition to Regulatory Compliance and Legal colleagues within Americas and other global regions.
Oversight of ongoing management information and reporting for the Global Head of Regulatory Risk and Review, Americas Chief Compliance Officer, Global Chief Compliance Officer and for Executive Management.
Preparation and delivery of reports and presentations to department and business unit management, Governance Fora.
Knowledge / Experience:
Extensive and proven asset management, consulting or regulatory experience.
Extensive experience with internal controls and the development, implementation and management of a regulatory review activities either in industry, in a consulting environment or with a regulator.
Strong team management experience.
Strong working knowledge of SEC and ideally other US regulatory requirements.
Strong leadership and interpersonal skills including written/oral communication skills
Ability to both lead a team and contribute to the broader Americas Compliance team.
Enthusiasm to work in a fast-paced, dynamic environment with the appetite to learn and develop skills as both the business and the regulatory environment evolve.
Self-starter. Ability to drive forward work plan under little supervision.
High standard of accuracy and excellent attention to detail.
Ability to prioritise workloads and adhere to deadlines.
Excellent organizational skills.
Collaborative team player.
Energetic, enthusiastic, robust and impactful.
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