Analyst, Compliance Officer (Marketing and Distribution)

Responsibilities

• Initial responsibilities will be primarily focused on:
• Conduct compliance oversight and monitoring of sales and distribution activities. Assist in the enhancement and maintenance of relevant compliance policies, procedures, and controls.
• Review and approve marketing and promotional materials to ensure compliance with regulatory requirements and internal policies.
• Support the review and assessment of sales practices and related business initiatives from a compliance perspective.
• Assist with AML related matters including customer due diligence, client onboarding review, and ongoing monitoring activities.
• Lead and coordinate information disclosure-related work, including corporate and portfolio disclosures where applicable. Support regulatory reporting programs.
• Provide timely and practical compliance advice to marketing, sales, and distribution teams.
• Support compliance monitoring programs, internal reviews, and regulatory initiatives.
• Provide compliance training and contribute to promoting a strong compliance culture within the organization.
• Collaborate closely with internal stakeholders across business, legal, risk, operation, and other control functions. Liaise with regional and global colleagues to ensure that global best practices are applied to FMC.
• Qualifications, Knowledge and Experience:
• Bachelor's degree or above in Finance, Economics, Law, Accounting, or other relevant disciplines.
• Relevant compliance experience within fund management companies, securities firms, or other financial institutions.
• Familiar with regulatory requirements relating to marketing, distribution, and investor communications within the fund management industry.
• Strong communication and stakeholder management skills.
• Detail-oriented with strong organizational and coordination capabilities.
• Proactive, adaptable, a strong sense of responsibility, and capable of managing multiple tasks in a fast-paced environment.
• Strong integrity and commitment to maintaining high compliance standards.
• 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 looking for a proactive and detail-oriented compliance professional to support the FMC Compliance function. This role will work closely with business and control functions to ensure marketing materials, distribution activities, and disclosure practices comply with applicable regulatory requirements and internal standards. The successful candidate should demonstrate strong communication skills, and a detailed and business-oriented mindset.

Your Match

How well this role fits your profile.

Company Intel

What employees say

Worked at BlackRock? Share your experience