Vice President, Compliance – Retail SMA and Managed Models Business – Princeton

Full-time @BlackRock in Legal & Compliance jobs
  • Princeton, US View on Map
  • Apply Before : January 9, 2023
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Job Description

Join leading Investment management company BlackRock as Vice President, Compliance – Retail SMA and Managed Models Business in Princeton, US. refer job details to submit BlackRock job application in Princeton.


Job Title : Vice President, Compliance – Retail SMA and Managed Models Business

Location : Princeton, US

Job Category: Legal & Compliance



About this role


We are seeking a self-motivated Compliance professional to provide compliance support to the U.S. Wealth Advisory’s retail SMA and managed models business, which includes fixed income and equity products and strategies, including models. In addition, the Compliance professional would assist the Head of Aperio Compliance in providing support for Aperio Group, LLC, a wholly-owned subsidiary of BlackRock, which works with financial advisors to personalize and tax optimize indexed equity SMAs.

The Compliance professional would be responsible for working with the Head of Aperio Compliance in supporting the compliance infrastructure of the SMA business and Aperio, including reviewing and monitoring for any compliance issues or areas for improvement and conducting periodic testing of compliance with policies and procedures. The successful candidate will need to demonstrate the ability to build, maintain and enhance a strong compliance framework and program while having a strong knowledge of applicable regulations, while working collaboratively with the various stakeholders.

Key Responsibilities

Conduct periodic testing and compliance reviews in the SMA and Models businesses, as well as Aperio as needed. Projects could include tasks such as interfacing with custodians to confirm client account statement delivery obligations are met, and review of portfolio management compliance with investment guidelines and compliance with internal restrictions.
Assist with collecting information for Form ADV and testing to ensure data is accurate, with timely submission for filing.
Develop, implement, and maintain policies, procedures, and processes to address key regulatory, compliance and reputational risks areas for the SMA business, liaising with existing compliance and legal personnel covering various areas within the business.
Support the regulatory engagement process, including working with internal compliance and business partners in responding to regulators as part of examinations and inquiries, and other regulatory interactions, in addition to assisting with Internal Audit reviews.
Lead or participate in cross-departmental projects impacting Legal and Compliance and the business.
Keep informed of regulatory changes, trends, and focus within the industry and assist with assessing impact to the firm, including the creation of, or enhancements to, compliance controls and oversight.
Providing periodic Compliance training to employees as needed.


3 to 7+ years of financial services compliance with an asset management firm, investment adviser and/or broker-dealer.
Ability to identify Compliance risks and propose mitigation solutions.
Ability to work as part of a team and independently in a fast-paced environment with competing priorities.
Knowledge of the Investment Advisors Act of 1940 is required,
Working knowledge of the Investment Company Act of 1940, the Securities Act of 1933 and the Securities Act of 1934 is preferred.
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 advisory services (e.g., SMAs), including the relevant regulatory regimes and compliance requirements.
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.
Four-year college degree required. Advanced degree (e.g., JD, MBA) is a plus.

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.

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 | | Instagram: @blackrock | Twitter: @blackrock | LinkedIn:

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.

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