Vice President, Investment Advisory Compliance – Hong Kong

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

Join leading Investment management company BlackRock as Vice President, Investment Advisory Compliance in Hong Kong, HK. refer job details to submit BlackRock job application in Hong Kong.


Job Title : Vice President, Investment Advisory Compliance

Location : Hong Kong, HK

Job Category: Legal & Compliance



About this role

BlackRock Company Description:

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 December 31, 2020, BlackRock’s assets under management totaled US$8.68 trillion across equity, fixed income, cash management, alternative investment, real estate and advisory strategies. For additional information on BlackRock, please visit @blackrock | Blog:

Role Aim/Purpose:

As a member of the Investment Advisory Compliance team in APAC, you will work closely with regional and global Compliance teams and the business to provide compliance and regulatory advice on a range of matters and issues across APAC. You will liaise with Compliance teams in AMRS and EMEA too.
You will be part of the team specifically responsible for advising BlackRock’s equities businesses which includes Fundamental Active Equity, Trading Lending and Liquidity, Capital Markets and the ETF & Index Investment (EII) business. At the outset you may specialize in one or more of these depending on your expertise and experience.
Over time your responsibilities and scope may develop to cover other investment businesses in APAC at BlackRock. This includes gaining subject matter expertise to advise all businesses that deal in equities. Location of this role will be based in Hong Kong.
Advice to the business will covers a broad range of topics. For the ETF & Index Investment (EII) business for example this covers compliance risks relating to building diversified portfolios, providing APAC investors with indexing solutions and working with competitors and internal stakeholders in developing and maintaining the ETF ecosystem.
The scope of work includes problem solving, dealing with regulators, advising on compliance for new products and businesses, and the design of controls and providing constructive challenge to the business. You will be integral to continually enhancing our Compliance strategy and the execution of deliverables.
Specific to Hong Kong, the team also looks after the Responsible Officer (RO) and Manager-in-Charge (MIC) regime for BAMNA. This involves ensuring the firm meets all SFC requirements, that all RO and MIC understand their role and receive training and trouble shooting where relevant.

Key Responsibilities:

Advise on best practices in compliance and regulatory risk management. Partner with the business to achieve objectives. Know how the investment management industry functions, the challenges faced, current trends and the responsibilities of the fiduciary manager.
Advise on local, regional and global laws, regulations, and BlackRock’s policies and procedures, such as reallocation. You will participate in global and/or regional compliance initiatives to ensure global consistency, implement new requirements and ensure best practices.
Participate in the launch of new product and business initiatives. You will liaise with regional Compliance teams and regulators to assist the business with policies and procedures. Ability to project manage and work in collaboration with other stakeholders to achieve results is important.
Conduct risk-based compliance monitoring and perform in-depth reviews of processes within the business to identify compliance and regulatory risks and advise on solutions as appropriate. This will include issues and incidents that arise from time to time.
Responsible for reviewing high risk sales and marketing materials, as well as product documents produced by the business to ensure that such documents comply with the applicable regulatory requirements and internal standards.
Provide compliance training to the businesses in APAC and advise on licensing matters in Hong Kong in particular (SFC and MPFA). Ensure that the licensed corporation and its representatives understand how to comply with the relevant licensing requirements.
Advise on completing regulatory filings in Hong Kong and other jurisdictions in APAC relating to BlackRock products. Liaise with regulators and draft responses to regulatory enquiries. Respond to regulatory investigations by preparing written responses working closely with stakeholders.
To exhibit an aptitude and willingness to think outside the square and apply your judgment to new and challenging issues and questions as the role and its scope develops and/or expectations change over time. Someone who enjoys problem solving and figuring things out will excel.

Experience, Skills & Knowledge Required:

University degree in Finance/Accounting/Law/Business/Economics with recognised professional qualifications preferred.
At least 6-12 years relevant working experience in investment compliance at an asset manager or other financial services organisation.
Previous experience in a fund manager, for example dealing with ETFs or other specialised areas, is beneficial. Markets experience, possibly with understanding of structured products, will also be considered.
Good understanding of the regulatory environment in Hong Kong and/or Singapore. Regulatory knowledge of mainland China and/or other Asia Pacific jurisdictions is an advantage.
Strong analytical, problem solving and communication skills. Ability to think outside the square.
Excellent time management and organisational skills. Ability to lead projects with minimal supervision and the ability to work autonomously.
People management skills – influencing and leadership skills.
Team player who is sensitive to the needs of the functional business units and other stakeholders.
Excellent written and spoken English; proficiency in Cantonese and/or Mandarin would be an advantage.

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.

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 pilot

BlackRock’s current hybrid work pilot is designed to help you experience the best of both worlds: the opportunity to connect with colleagues in person and the flexibility to work remotely, with greater time to focus on what’s important to you. In line with local health guidance and regulations, employees are generally expected to work 3 days in the office and 2 days from home (on average) each week. For some business groups, more time may be required in the office, while greater flexibility may be in place for others. Our “One BlackRock” culture means you’ll be supported to collaborate with your new colleagues while bringing your full self to work – wherever you are.

The health, safety and well-being of our people will always be our top priorities; we will continue to monitor local conditions and health advisories in making decisions about our work environments.

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 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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