Vice President, Advisory Compliance

3 weeks ago

Riyadh, Saudi Arabia BlackRock Full time

Description

About this role

Compliance Officer / MLRO - Middle East

Corporate Title: Head of Compliance and MLRO

Location: Riyadh - Kingdom of Saudi Arabia (KSA)

BlackRock is a global leader in investment management, risk management and advisory services for institutional and retail clients. BlackRock helps clients around the world meet their financial goals with a range of products that include separate accounts, mutual funds, iShares - (exchange-traded funds), and other pooled investment vehicles. BlackRock also offers risk management, advisory and enterprise investment system services to a broad base of institutional investors through BlackRock Solutions -.

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;
- Having client interests at the center of everything we do;
- Cultivating and enhancing the compliance culture within BlackRock;
- Providing thought leadership on the impact and implementation of regulation;
- Developing and fostering excellence within the Compliance team

Role Description:
A new and exciting opportunity has arisen to join BlackRock - s EMEA Compliance Advisory team covering the Kingdom of Saudi Arabia (KSA). The individual will be locally registered with the Capital Markets Authority as Compliance Officer and Money Laundering Reporting Officer. The individual will therefore need to satisfy the criteria for being a registered Compliance and MLRO within Saudi Arabia and have passed the qualification examinations required by the Capital Markets Authority, or secured an exemption from the Authority from such requirement.

Key Responsibilities:

- Identifying all regulations affecting the Riyadh business, monitoring all regulatory risks and potential compliance breaches while ensuring internal policies and procedures take account of the changing regulatory landscape
- Perform all relevant regulatory reporting and liaising with CMA and checking that all regulatory returns and ad hoc notifications have been submitted to the CMA and KSA regulatory authorities on a timely basis.
- Develop a Regulatory Risk Framework outlining any requirements and ensuring suitable controls are in place.
- Review and approval of advertising and marketing materials for distribution in KSA. This will involve having a detailed understanding of marketing rules as well as digital marketing.
- Be the senior point of contact with the regulators (CMA, SAIGA) 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 Head of EMEA ex-UK Compliance and Middle East Head of Compliance.
- Strengthening of compliance controls and the embedding of a compliance culture through reviews, guidance, advice and stakeholder engagement.
- 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 KSA.
- Provide reports on a regular basis and, as directed or requested, keep senior management informed of the operation and progress of Compliance efforts.
- 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 CMA.
- Responsibility for compliance with the CMA 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 KSA.
- 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 CMA, Dubai Financial Services Authority or other regulators is advantageous.
- A strong understanding of regulation in KSA and more broadly in the GCC.
- Skills/experience in investment advice, investment management and investment products.
- Excellent written and spoken English required; pro

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