Analyst, Compliance Officer (Investment Compliance Advisory)
External
Blackrock · Shanghai, ChinaPrepare for this interview
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Responsibilities
- Initial responsibilities will be primarily focused on:
- Conduct ongoing compliance monitoring of investment activities and trading practices.
- Assist in the development, enhancement, and maintenance of compliance policies, procedures, and internal controls.
- Provide day-to-day compliance advisory support to investment, trading, and business teams.
- Perform surveillance and analysis relating to investment risk thresholds and trading activities, support the implementation and monitoring of insider trading controls and information barriers.
- Participate in compliance review and assessment for new products, business initiatives, and regulatory changes.
- Support regulatory reporting, compliance monitoring programs, and internal governance initiatives.
- Deliver compliance training and contribute to fostering a strong compliance culture across the organization.
- Liaise with local, regional and global stakeholders across investment and trading, risk, operations, legal and compliance, and other control functions.
- Qualifications, Knowledge and Experience:
- Bachelor's degree or above in Finance, Economics, Accounting, or other relevant disciplines.
- 3-5 years of relevant experience in investment compliance or risk management within asset management industry.
- Good understanding of investment and trading-related regulatory requirements and industry practices.
- Experience in investment surveillance, trading controls, or investment guideline monitoring would be advantageous.
- Strong analytical and problem-solving skills, with the ability to interpret regulations and assess regulatory risks pragmatically.
- Proficient in handling and analyzing data with strong attention to detail.
- Strong interpersonal and communication skills, with the ability to build effective working relationships across functions and seniority levels. Team player with a positive attitude and willingness to learn.
- Self-motivated, proactive, well-organized, and able to manage multiple priorities.
- High level of integrity, accountability, and professional judgment.
- CFA / FRM qualification or progress toward certification is a plus. Fund Practitioner Qualification is preferred.
Benefits
Additional Information
About this role BlackRock China Fund Management Corporation (FMC): BlackRock's purpose is to help more people experience financial well-being and the firm has a long history of investing in and serving investors in China. BlackRock aspires to become the leading global asset management firm operating in China and is committed to contributing to the long-term development of the local asset management industry. BlackRock China Fund Management Company, a Shanghai-based wholly owned subsidiary of BlackRock, aims to extend its asset and risk management expertise and offer Chinese investors innovative and diversified mutual fund products and investment solutions to help transform more cash savers into long-term investors. Role Description: We are seeking a motivated compliance professional to join the FMC Compliance team. This role will support the ongoing compliance oversight of investment management activities and provide proactive compliance advisory support to business stakeholders. The ideal candidate should possess strong analytical capabilities, sound judgment, a collaborative mindset, and the ability to work effectively in a dynamic and fast-paced environment
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