Compliance Vice President (Frankfurt, Germany)

Responsibilities

• Advising local staff and governing bodies on compliance matters, including marketing and sales activities in Germany, Austria, Switzerland and abroad (cross-border)
• Supporting local Heads of Compliance Germany and Switzerland in maintaining and improving the compliance framework, dealing with regulatory issues, queries and projects
• Supporting local Heads of Compliance Germany and Switzerland in regulatory horizon scanning and advising on relevance/impact of such regulatory developments
• Supporting local Heads of Compliance Germany and Switzerland in monitoring of and reporting on business activities and related compliance matters (e.g. product launches, investment restrictions, regulatory breaches)
• Supporting local Heads of Compliance Germany and Switzerland in managing the compliance outsourcing framework (e.g. monitoring including KPI reviews, service review meetings, service level agreement management)
• Deputizing the Heads of Compliance Germany and Switzerland in providing Compliance updates in local governance committee meetings
• Supporting local Heads of Compliance Germany and Switzerland in reviewing and updating local Compliance Framework incl. Anti-Financial Crime policies, procedures and risk assessments
• Delivery of risk-based compliance trainings to BlackRock staff based in Germany, Austria, Switzerland (as applicable or required)
• Providing advice on specified projects, including but not limited to new business initiatives and products
• Close collaboration with local Legal & Compliance teams and broader EMEA Legal & Compliance team
• Potential candidates should be aware that this is a high-profile role where ability to communicate at all levels of the organisation (including local senior management) as well as excellent organizational skills are critical to success.
• Development Value:
• Knowledge/Experience/Skills:

Additional Information

About this role Business Unit Overview: 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 translate compliance into their daily work Have client interests at the centre of everything we do Cultivate and enhance the compliance culture within BlackRock Provide thought leadership on the impact and implementation of regulation Developing and fostering excellence within the Compliance team Job Purpose/Background: An exciting opportunity has arisen for a Vice President to join the BlackRock Compliance team in Germany. This position will complement the current German and Swiss teams which work closely with the wider Compliance teams in EMEA, creating a dynamic internationally oriented environment. The successful candidate will report into the Head of Compliance Switzerland with a matrix reporting line to the Head of Compliance Germany. The role advises on regulated activities in Germany (and, as applicable, Austria) and Switzerland and is expected to operate in line with applicable German/EU requirements (including, as relevant to the business model, KAGB/AIFMD, UCITS, WpHG/MiFID II, GwG/AML framework, MaRisk, and DORA), applicable Swiss requirements as well as internal policies and governance. The role forms part of the Compliance function and is expected to exercise independent judgement, ensure appropriate escalation of issues, and maintain robust documentation suitable for internal audit and regulatory reviews.

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