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About this role
Summary:
We are seeking a self-motivated Compliance professional to be part of a transaction surveillance and forensic testing team. The Global Transaction Surveillance and Forensic Testing team (TSFT) is responsible for the development, ongoing review, and follow-up of surveillance alerts related to BlackRock’s equity, fixed income, and multi-asset portfolio management and trading functions globally. Through their work, the team is focused on mitigating regulatory risk and helping ensure compliance with internal policies, procedures, and regulatory requirements. In addition, the team provides regular MI reporting to various oversight committees and senior leaders. Team members may also participate in forensic testing on specific focus areas which will require analysis and oral/written presentation of observations and recommendations. Surveillance alerts and focus areas could include, but not be limited to, topics such as allocation, cross trades, and window dressing.
The successful candidate will be based in BlackRock’s Mumbai office and report into a local TSFT manager. This individual is expected to consult and partner with Compliance and other colleagues in various regions including the Americas, EMEA and APAC.
Key Responsibilities:
- Review and evaluate daily surveillance alerts in a timely manner
- Effectively coordinate and communicate with Portfolio Management and Trading business to close our surveillance alerts
- Update and enhance surveillance report logic when needed
- Review and update surveillance procedures on an annual basis.
- Coordinate the development of surveillance metrics for Senior Leadership
- Assist with the development of new surveillance testing, and enhancements to existing reports, working closely with the global TSFT Head and internal Technology teams
Qualifications:
- Must be fluent in English and willing to work outside of the normal local time zone
- 4-6 years of Financial Services industry experience, asset management experience a plus
- Strong background and working knowledge of portfolio management and trading operations and practices
- Previous markets transaction surveillance experience strongly preferred
- Familiarity with applicable regulatory requirements a plus
- Ability to manage multiple tasks effectively while paying attention to detail
- Strong written/oral communication, organizational, and interpersonal skills
- Proficient in Microsoft Office (e.g., Excel, Word, and PowerPoint)
- Ability to work as part of a team and independently in a fast-paced and demanding environment
- University degree required
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.
