About this role
BlackRock's Compliance Department protects BlackRock’s reputation and provides client-focused advice. It understands, challenges and advises on the impact of regulation in our business, with the objective of:
- Actively participating in business decisions to champion our clients’ interests and assist the business to incorporate compliance into their daily work.
- Keeping client interests at the centre of everything we do.
- Cultivating and enhancing the compliance culture within BlackRock.
- Providing thought leadership on the impact and implementation of regulation; and
- Developing and fostering excellence within the Compliance team.
Reporting to the Head of Compliance, Asia ex-Japan, the Head of Compliance in Taiwan will oversee the local Compliance department to review and evaluate compliance issues/concerns within the organization and will be responsible for the following duties:
Key Responsibilities:
- Review and evaluate compliance issues/concerns within the organization in order to ensure that management and employees are in compliance with the rules and regulations of regulatory agencies, company policies and procedures.
- Provide advice on product for the discretionary managed account services, investment advisory platform, internal control improvements and process enhancements for all business units relating to SITE operations.
- Review of fund distribution activities, including approval of marketing materials.
- Participate in committee reviews and meetings.
- Manage day-to-day operation of the Compliance Department.
- Provide sound guidance to Senior Managers on regulatory requirements impacting the firm.
- Develop and implement an effective Compliance Monitoring Programme and collaborates with others to direct compliance issues to appropriate channels for investigation and resolution.
- Good and efficient handling of regulatory inquiries and co-ordination of regulatory visits.
- Conduct compliance training and advice in relation to SITE’s activities
- Review and update internal compliance policies and procedures for any SITE regulatory requirements.
- Liaise with Legal Counsel on funds authorization matters and relevant product maintenance work.
- Co-ordinate with business and regional office for account opening issues relating to offshore products.
- Deliver compliance training to staff members in relation to internal policies and procedures.
- Work with various business units to assess impact of new business initiatives.
- Institutes and maintains an effective compliance communication program for the organization, including promoting understanding of new and existing compliance issues and related policies and procedures.
Key Requirements:
- University degree in finance/accounting/law with recognised professional qualifications preferred.
- At least 12 years relevant working experience, preferably in a compliance or audit function in sizable fund management companies. Previous working experience with regulator is a plus.
- Good understanding of the regulatory environment in Taiwan, in particular knowledge of SITE Rules.
- Must possess a strong work ethic and be a team player with the ability to work well under pressure.
- Strong sense of responsibility, analytical and interpersonal skills with ability to influence and lead.
- Excellent command of spoken and written English and Chinese.
- Ability to prioritize and handle complex compliance related projects.
- Qualified applicants, including people with disabilities, are welcome to apply.
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.
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What We Do
As the world’s largest asset manager, BlackRock partners with investors around the globe to help them (and those on whose behalf they invest) plan for life’s most important goals – like retirement, home ownership and their children’s education. Our clients range from governments, foundations and other large institutions to those investing on behalf of individuals, including firefighters, nurses, teachers and factory workers. BlackRock was founded with the idea of creating a better asset management firm — one that was purpose-driven, focused on clients and risk management, and propelled by data and technology. Our breakthrough Aladdin® platform is BlackRock’s technological backbone, helping investors see and manage their whole portfolios in one place – from constructing investments to monitoring risk and executing trades. Used by hundreds of external institutions around the world, Aladdin combines powerful analytics and a common language to help investment teams make faster, more informed decisions across public and private markets. It’s a key part of our business and one of the reasons we’re trusted to manage more assets than any other investment manager today. At BlackRock, we challenge conventions and raise the bar for what’s possible. We harness technology to unlock new solutions, simplify complexity, and deliver investment strategies that meet people where they are. Whether it’s retirement planning, wealth building or navigating market shifts, we’re here to help clients invest more easily, more affordably and with more choice as we chart a path toward financial well-being together. Learn more: Careers.BlackRock.com
Why Work With Us
Without our people, technology is irrelevant. When we combine the power of people with the power of technology, we amplify our ability to create better outcomes for our employees, clients, shareholders and society alike.
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