About this role
As Head of Employee Compliance Operations, you will build a center of excellence for processing employee-related disclosures and executing key controls that help identify potential / actual conflicts associated with personal trading, private investments, outside business activities, gifts & entertainment and other activities. You will be responsible for partnering with the Head of Employee Compliance Policy & Advisory who oversees the framework and related requirements to manage associated risks of these activities. You will be responsible for building scale and efficiencies, assuring streamlined workflows and quality assurance as your team works to support employees globally.
As Head of India Compliance, you will have oversight of the Compliance function in India and provide compliance and regulatory advice on a range of matters. You will engage with regulators, industry associations and regional and global business stakeholders as you evaluate regulatory and policy considerations required for the successful execution of BlackRock’s strategic business priorities in India. You will focus on management of the Compliance teams located in the Gurgaon and Mumbai office, setting strategy, assuring robust culture and supporting career development.
You will have a matrix reporting line into the Global Head of Enterprise Compliance and the regional Head of Compliance.
We are seeking an individual with exceptionally strong leadership, people and team management skills. This individual should have a strong background in operational processes, business process optimization and financial services, ideally in the asset management or banking industry. Experience in functions such as: employee-related compliance, marketing and distribution compliance, surveillance, monitoring and testing and management/board level reporting preferred.
Key Responsibilities:
As a senior compliance professional, you will be a member of the Enterprise Compliance management team and the APAC Compliance ExCo, responsible for:
Providing advice directly (and through existing teams) to all business units across India dealing with a potentially wide range of issues including portfolio management, licensing, employee personal activities, conflicts, marketing and distribution and client business.
Overseeing the sound execution of processes and management of controls pertaining to risks associated with employee activities.
Overseeing programs to maintain compliance with local and regional laws and regulations, as well as BlackRock’s policies and procedures and global best practice standards.
Working closely with senior offshore Compliance colleagues to ensure consistency of advice and practices across APAC.
Participating in global and/or regional compliance initiatives to ensure consistency, implement new requirements and ensure best practices.
Monitoring local and regional regulatory developments and evaluating their impact on the business and related Compliance programs
Consulting with regional and global compliance and business colleagues, as necessary.
Evaluating, recommending and implementing optimal operating model to appropriately manage Compliance programs, specifically related to Employee Compliance, at local and global levels.
Qualifications:
A minimum of 15 years relevant working experience in legal and compliance or operations at a financial services firm.
Previous experience as a management consultant strongly preferred.
Background in employee conduct, conflicts management, marketing and distribution compliance, licensing compliance and other enterprise compliance programs preferred.
Proficiency in both written and spoken English.
Strong attention to detail.
Ability to motivate, coach and develop teams of all levels of professional experience.
Ability to work across regions and functions to deliver practical, risk-minded advice and innovative solutions that reflect business priorities.
Ability to influence and demonstrate impact in engagement with key internal and external business stakeholders of all corporate titles.
Experience presenting to management committee and board level audiences
Strong written/oral communication, organizational, and people skills.
University degree preferred.
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.