Compliance Officer

6 days ago

Abu Dhabi, United Arab Emirates BlackRock, Inc. Full time

Compliance Officer / MLRO - Vice President

**About this role**

**Business Unit Overview**:
BlackRock's Compliance Department protects BlackRock's reputation and provides client focussed advice. The department is a dynamic environment with the team focused understanding and advising 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 in translating compliance requirements and expectations into their daily work.
- Putting client interests at the centre of everything we do.
- Ensuring adherence to, and providing advice on, applicable laws, regulations, and BlackRock Compliance policies.
- Collaborating with the business to position Compliance centrally into their daily work.
- Encouraging and improving the compliance culture within BlackRock.
- Providing thought leadership, analysis, and advice on the impact of the regulatory framework on the business and its clients
- Developing and encouraging excellence within the Compliance team; and
- Actively developing the skills and careers of each member of the Compliance team.

**Role Description**:
**Key Responsibilities**:

- Supporting the compliance team with regulatory reporting, ensuring that all regulatory returns and ad hoc notifications have been submitted to the SCA/ FSRA and all applicable regulatory authorities on a timely basis.
- Advising the business on all aspects of investment compliance, ensuring that local frameworks are developed in line with FSRA regulatory expectations and the wider BlackRock global regulatory framework.
- Assisting and advising senior management in identifying and mitigating the compliance risks facing the Firm and designing and implementing policies, procedures, systems and controls that will enable the Firm to comply with the legislation in the UAE and in particular the FSRA.
- Reviewing and approval of advertising and marketing materials for distribution in the Middle East region. This will involve having a detailed understanding of marketing rules as well as digital marketing.
- Be the senior point of contact with regulators and maintain positive relations with external stakeholders.
- Establishing and maintaining an appropriate money laundering training program and adequate awareness arrangements for all relevant employees and conduct ad-hoc focused training on specific regulatory compliance matters.
- Timely escalation of regulatory matters to the Middle East Head of Compliance.
- Reviewing and enhancement of compliance controls promoting a strong compliance culture through reviews, guidance, advice and stakeholder engagement.
- Establishing and maintaining the firms' files and registers in relation to controllers; senior management apportionment; authorised individuals; breaches; complaints; conflicts identification and management, marketing materials; clients, regulatory returns and notifications to the FSRA and SCA.
- Responsibility for compliance with the UAE and FSRA AML rules and any relevant anti-money laundering legislation.
- Establish and maintain anti-money laundering policies, procedures, systems and controls and compliance with anti-money laundering legislation applicable in the FSRA and UAE Federal authorities.
- Contributing to the creation of management reporting and communication on Compliance matters to senior management, corporate and/or fund boards and BlackRock business stakeholders.
- Providing advice on the anticipation, impact assessment and response to regulatory development.
- Designing and delivering effective regulatory training initiatives to the business.

**Knowledge / Experience**:

- Minimum of 6-8 years' experience in compliance.
- Experience with the FSRA or other Middle East regulators is advantageous.
- Skills/experience in investment advice, investment management and investment products.
- Excellent written and spoken English required; proficiency in Arabic a plus
- Integrity and professionalism; must be a team player
- A self-starter, with excellent organisational skills and ability to work independently to tight deadlines
- Extensive experience within a control function within the asset management industry, ideally within Compliance or Legal.
- Proven ability to influence an internal client base by delivering timely, credible, accurate and value-added advice.
- High levels of enthusiasm for supporting an innovative product development, marketing and distribution strategy.
- Highly effective written and verbal communications skills.
- Consistent ability to demonstrate high standards of professional accuracy and excellent attention to detail.
- The technical ability and mindset to deliver a solutions-driven approach and the judgment to use this in appropriate circumstances.
- Excellent organisational skills with ability to prioritise workloads, progress multiple tasks and adhere to deadlines.
- Ability to collaborate effectively both within the team and across f

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