Job Board

Vice President, Compliance

BlackRock Asset Management Canada Limited
Company Info:

BlackRock is one of the world's preeminent asset management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual investors.  Our clients can access our investment solutions through a variety of product structures, including individual and institutional separate accounts, mutual funds and other pooled investment vehicles, and the industry-leading iShares® Exchange Traded Funds (ETFs). 

BlackRock's Legal & Compliance (L&C) Department protects the firm's reputation and provides advice to, and oversight and monitoring of, BlackRock,s business.  The department is focused on both understanding and advising on the impact of regulation to our business and on challenging, overseeing and monitoring business activities.


Toronto, Ontario
Job Duration:
Full time
Posting Closing Date:
February 20, 2020
Employment Type:
Contract Type:
Job Description:

Work closely with business and the L&C team to develop and maintain the Canadian compliance program for BlackRock's portfolio management, investment fund manager and exempt market dealer businesses.  Accountable for the day-to-day desig, implementation, execution and maintenance of the compliance function including oversight and testing, providing direction, advising key internal business partners as well as handling regulatory inquiries, external client issues and managerial responsibility for one direct report.


Job Responsibilities:
  • Applying critical thinking and judgment to ensure effectiveness of overall compliance program by balancing regulatory risk and commercial objectives:  monitoring regulatory developments and industry best practices and working with business partners to design, implement and execute appropriate policies, procedures and controls
  • Interprets regulatory and/or policy changes to identify areas impacted and where appropriate, works with stakeholders to develop a plan to effect required changes while putting client's interests first and cultivating and enhancing the strong compliance culture at BlackRock
  • Meeting managerial expectations and responsibilities including oversight of direct report's remit around registration, conflict matters such as personal trading, review and approval of sales communications and marketing materials, training sessions for stakeholders and our financial crimes program
  • Participate in product launches and strategic projects in order to identify compliance/regulatory issues
  • Manage and coordinate regulatory reviews and inquiries, including liaising with regulators and internal partners to respond to document requests and meetings
  • Work closely with local and global legal and compliance teams to ensure consistency in compliance approach
  • Manage effective working relationships with other functions such as finance, internal audit, risk and quantitative analytics team and portfolio compliance group
  • Actively participate in industry associations to ensure current knowledge of regulatory developments and industry best practices and raise BlackRock profile


  • Minimum 8 years of compliance experience within a financial services compliance function or within a regulator with demonstrated increase in responsibility and in-depth knowledge of Canadian compliance and regulation, particularly with respect to portfolio management, investment fund manager and exempt market dealer businesses
  • Accounting designation and/or CFA considered an asset
  • Organized, accurate and detail oriented. Capacity for working effectively on multiple tasks simultaneously in a fast paced environment
  • Excellent analytic, written and oral communication and relationship building skills required, including prior managerial experience
  • Proven ability to exercise sound independent judgment using a rigorous risk lens to resolving problems or identifying issues requiring escalation
  • Ability to function both independently and as part of a team
  • Completion of the Canadian Securities Course and Partner, Directors and Senior Officers Course or Chief Compliance Officers Qualifying Exam is considered an asset
  • Bilingualism an asset (English and French)
How to Apply:

Please contact Margaret Gunawan, Head of Legal & Compliance directly, if you are interested in the role (