Compliance Monitoring and Testing
3 months ago
Description
About this role
Vice President, Compliance Monitoring and Testing:
This is a Vice President level role within the Compliance Monitoring & Testing (CMT) Team. The role is based in Edinburgh UK and reports into the Global Head of CMT. The CMT team is part of the broader Enterprise Compliance function, which also includes the Core Compliance, Strategic Project Management, Data Privacy and Records Governance functions.
The CMT team is a dynamic, high profile, high performing global team which identifies and assesses regulatory and conduct risk across BlackRock through execution of an annual program of Compliance Monitoring and Testing reviews. The suite of reviews and tests are identified through routine assessments of risk and are aligned to regulatory requirements. The Compliance Monitoring program includes in-depth reviews focused on different business units, country offices and regulatory themes as well as an ongoing program of targeted testing.
Key Responsibilities:
- Oversee, execute and support the delivery of the monitoring and testing programme.
- Contribute to the planning, preparation, and socialization of annual compliance monitoring plan, including performing compliance risk assessments in collaboration with regional and global L&C stakeholders;
- Support the regional and global CMT team in the identification, evaluation, and testing of compliance related controls with the objective of providing assurance that BlackRock continues to meet its regulatory compliance and conduct obligations globally, with specific emphasis on EMEA requirements.
- Deliver the scoping, execution and reporting of CMT reviews in accordance with team procedures. This includes: (i) undertaking extensive scoping and planning activities to develop comprehensive test plan/testing matrix; (ii) drafting cohesive reports/working papers for CMT reviews; (iii) present findings and recommendations to senior management within L&C and senior business stakeholders
- Track identified issues and action plans to validate remediation efforts as well as escalate to relevant stakeholders where required.
- Support the team in preparing and delivery of management information to senior management, boards and committees.
- Develop strong partnership and collaboration with key stakeholders within business as well as L&C department both regionally as well as globally.
- Partner with regional CMT team members as well as broader Compliance team to deliver global reviews as well as lead/deliver strategic projects, initiatives and/or review.
- Build an understanding and awareness of BlackRock’s business, product platform and its operational and regulatory control environment.
- Proactively identify, analyze and escalate key regulatory risks identified as part of risk assessment and/or compliance monitoring activities.
Knowledge/Experience and Education
Deep Compliance and EMEA-specific regulatory expertise, including relevant, hands-on experience leading/developing compliance reviews and targeted testing plans is required, along with an understanding of risk assessment methodologies.
The knowledge and experience that would be beneficial for this role includes:
- Proven track record of leading deep dive regulatory or compliance reviews and targeted testing at a regulated firm, a regulator or leading consulting firm, and/or as part of an Internal audit or other testing function
- Understanding of the asset management sector;
- A strong knowledge of regulatory requirements and focus areas in the UK and European Union;
- Excellent verbal and written communication skills with a track record of drafting high impact and high-quality reports;
- Experience leading high performing teams;
- Project management skills and experience delivering projects in a complex organization;
- A proven track record in producing high quality deliverables under competing priorities and adherence to deadlines; and
- Knowledge of other key Compliance and risk management topics would be beneficial, for example risk assessment methodologies and developing management information.
- Motivated, action-oriented and adaptable
- Strong analytical, critical thinking and problem-solving skills with the ability to exercise sound and balanced judgment
- Proactive identification of risks and ability to propose solutions
- Ability to work independently as well as with a range of senior managers, and peers
Our benefits
To help you stay energized, engaged and inspired, we offer a wide range of employee benefits including: retirement investment and tools designed to help you in building a sound financial future; access to education reimbursement; comprehensive resources to support your physical health and emotional well-being; family support programs; 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 tha
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