About this role
Overview of Compliance team:
BlackRock's Compliance team works with business teams to develop investment management products and business solutions that comply with the numerous regulatory requirements to which BlackRock is subject and to deploy capital managed on behalf of clients. Compliance is responsible for overseeing regulatory matters; coordinating litigation proceedings; providing advice across investment platforms regarding new and existing products, strategies and investments; establishing compliance policies and programs that meet applicable regulatory requirements and conducting training etc.
Brief Description of the Role:
We are seeking a highly motivated professional to serve as a member of BlackRock's Compliance team, focusing on BlackRock ETF & mutual fund programs.
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This individual will be responsible for handling compliance matters related to the BlackRock's ETF and mutual fund's business. This individual will partner with multiple functions within the firm (including product development, portfolio management and fund administration etc.)
Candidates should be able to work effectively with a team environment but also be self-directed and able to work independently.
Responsibilities would include, but not limited:
- Assist in development compliance program for new & existing business, such as ETF platform building, and evaluating compliance concerns within the organization.
- Review the marketing materials and provide advice to ensure all marketing materials are followed group standard and local regulations & practice.
- Collaborate and provide advice on new product launch and enhancement to help ensure compliance with applicable regulatory requirements, including ETF rules etc.
- Undertake regular risk-based Compliance Monitoring, surveillance and reporting activities and lead day-to-day operation of the Compliance affairs.
- Incoming letter circulation and regulatory update to relevant departments
- Good and efficient handling of regulatory inquiries and assist to co-ordination of regulatory visits.
- Review, review and/or implement policies, procedures, the internal control manual for any SITE regulatory requirements, provide educational training on such policies, and coordinate annual compliance self-assessment tasks
- Handle the SITCA personnel registration matter
- Perform staff dealing monitoring (both internally and externally with Taiwan Stock Exchange and OTC) and preclearance checking
- Assist to handle customer complaints
Qualifications:
- At least 6-10 years relevant working experience with Taiwan registered funds, with a preference for experience working on ETFs and/ or preferably in compliance or investment or audit function in sizable fund management companies or financial industry. Previous working experience with regulators is a plus.
- Strong organization skills and ability to manage multiple sensitive matters in a demanding and fast-paced environment.
- Exceptional analytical, written and oral communication and relationship- building skills required.
- Good understanding of the regulatory environment in Taiwan, in particular knowledge of SITE Rules.
- University degree in finance/ accounting/ law/ technology with recognized professional qualifications preferred.
- Excellent command of spoken and written English and Chinese.
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.
Our hybrid work model
BlackRock's hybrid work model is designed to enable a culture of collaboration and apprenticeship that enriches the experience of our employees, while supporting flexibility for all. Employees are currently required to work at least 4 days in the office per week, with the flexibility to work from home 1 day a week. Some business groups may require more time in the office due to their roles and responsibilities. We remain focused on increasing the impactful moments that arise when we work together in person - aligned with our commitment to performance and innovation. As a new joiner, you can count on this hybrid model to accelerate your learning and onboarding experience here at BlackRock.
About BlackRock
At BlackRock, we are all connected by one mission: to help more and more people experience financial well-being. Our clients, and the people they serve, are saving for retirement, paying for their children's educations, buying homes and starting businesses. Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress.
This mission would not be possible without our smartest investment - the one we make in our employees. It's why we're dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive.
For additional information on BlackRock, please visit @blackrock | Twitter: @blackrock | LinkedIn: www.linkedin.com/company/blackrock
BlackRock is proud to be an Equal Opportunity Employer. We evaluate qualified applicants without regard to age, disability, family status, gender identity, race, religion, sex, sexual orientation and other protected attributes at law.