Compliance Director

5 months ago

Riyadh, Saudi Arabia BlackRock, Inc. Full time

Compliance Director

**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;
- 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 principally covering the build out of a comprehensive investment management franchise in the Kingdom of Saudi Arabia (KSA) supporting the continued growth of the business in the MEA region.

**Key Responsibilities**:

- Working as part of a global team responsible for BlackRock's information barriers, policies and procedures and restricted list processes.
- Working with global counterparts in the US and EMEA to ensure a level of consistency globally, leveraging best practice wherever possible.
- Delivering periodic compliance training to our businesses on matters including but not limited to market abuse, information barriers, and conflicts of interest.
- Provide support on re-allocation requests and internal crossings. 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.
- Support the ongoing development a Regulatory Risk Framework outlining any requirements and ensuring suitable controls are in place.
- Supporting on the 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 a senior point of contact with the MEA regulators (CMA, SAIGA, DFSA, SCA) and maintain positive relations with external stakeholders.
- Timely escalation of regulatory matters to the Head of 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.
- 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 10 years' experience in compliance.
- Experience with regulatory expectations especially with the CMA, Dubai Financial Services Authority and other regional 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; proficiency in Arabic a plus
- High levels of good communication skills
- Integrity and professionalism; must be a team player
- Must be independent and a self-starter, with excellent organisational skills and ability to work independently to tight deadlines
- Strong business presentation, writing, communication and interpersonal skills.
- Extensive experience within a control function within the asset management industry, ideally within Compliance or Legal.
- Demonstrable ability to influence a highly-performing 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.
- Self-motivation, the ability to work autonomously and high energy levels.
- The technical ability and mindset to deliver a solutions-dr

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