Vice President, Broker Dealer Compliance


: $173,366.67 - $173,366.67 /year *

Employment Type

: Full-Time


: Financial Services - Banking/Investment/Finance

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Seeking an experienced compliance professional for the Broker-Dealer Compliance group within BlackRock s Legal and Compliance Department. Broker-Dealer Compliance provides support to BlackRock s FINRA-member broker-dealers, including its limited purpose fund distribution broker-dealer and its execution services broker-dealer. The candidate will play a key and senior role within the team, working with and providing guidance to many departments across BlackRock. The candidate must have the ability to work independently, think critically and analytically, and interact with all levels of the various business partners within BlackRock. Responsibilities include, but are not limited to: Member of the compliance team responsible for the implementation of BlackRock s Broker-Dealer Compliance Program across all of BlackRock s broker-dealers. Maintain awareness of regulatory change within the industry. Assist with the assessment of resulting impact on the firm, as well as effecting changes to the compliance program as a result. Partnering with BlackRock s business groups to provide guidance relating to broker-dealer compliance. Assist with the execution of BlackRock s branch office inspection program and supervisory controls testing program. Oversight of trading compliance program for the broker-dealers including regulatory reporting (e.g., TRACE) and best execution reviews. Involvement with BlackRock s Broker-Dealer governance and oversight programs, including assisting with the creation of materials and presenting to relevant committees. Work with internal IT staff to improve processes through automation or improved technology where possible. Provide periodic compliance training to employees as needed. Assist with global compliance projects that impact the broker-dealers. Preferred background: Experience preference is 5 to 10 years of financial services compliance with an asset management firm, investment adviser and/or broker-dealer. Previous management experience is a plus. Four-year college degree preferred. Advanced degree (e.g., JD, MBA) is a plus. Detailed knowledge of FINRA Rules, MSRB Rules, the Securities Act of 1933, and the Securities Exchange Act of 1934 required. Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, as well as NFA rules and regulations, are not necessary, but helpful. Prior experience in compliance, legal, audit, or risk management roles. Experience working at a regulator (e.g., SEC, FINRA, NFA, CFTC) is a plus. Knowledge of mutual funds, ETFs, 529 plans, and advisory services (e.g., SMA), including the relevant regulatory regimes and compliance requirements. Understanding of fixed income and equity trading regulations, including the rules and regulations of the SEC, CFTC and various exchanges and associations under such federal agencies, including FINRA. Excellent and demonstrable written and oral communication skills, including the ability to conduct training sessions and give presentations to groups of varying seniority. Ability to partner with, and provide guidance to, internal business units at various levels within the organization. Strong organizational and project management skills, and attention to detail. About BlackRock BlackRock helps investors build better financial futures. 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 March 31, 2019, the firm managed approximately $6.52 trillion in assets on behalf of investors worldwide. For additional information on BlackRock, please visit @blackrock | Blog: 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. At BlackRock, we work together with pride and passion to help millions of investors around the world build better financial futures. Explore opportunities to build a rewarding and challenging career with us. Start your job search by selecting your level of experience. BlackRock is proud to be an Equal Opportunity/Affirmative Action Employer. We are committed to equal employment opportunity to all applicants and existing employees and we evaluate qualified applicants without regard to race, creed, color, national origin, sex (including pregnancy and gender identity/expression), sexual orientation, age, ancestry, physical or mental disability, marital status, political affiliation, religion, citizenship status, genetic information, veteran status, or any other basis protected under applicable federal, state, or local law. View the EEO is the Law poster here and its supplement here. The pay transparency policy is available here. BlackRock is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information. We use cookies to ensure that we give you the best experience on our website. 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Associated topics: broker, dow jones, financial, fund, nasdaq, risk, securities broker, security, stock, s p * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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