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Associate, Compliance

BlackRock Canada
Toronto, ON
Posting Closing Date:
December 31, 2022
Employment Type:
Contract Type:
Job Description:

The Associate, Compliance is responsible for overseeing and executing the day-to-day compliance functions within BlackRock Canada, including with respect to core compliance, registration with Canadian securities regulators and regulatory reporting, marketing review, monitoring and updating of compliance policies and procedures, ongoing compliance reporting and other tasks related to the maintenance of BlackRock Canada's compliance program. The successful applicant will work closely with BlackRock Canada's iShares and institutional client businesses, as well as internal stakeholders and other members of BlackRock’s L&C team, both in Canada and globally.

Job Responsibilities:
  • Work with business partners to prepare and complete various compliance reporting, including compliance certificates and regulatory reports required under securities and other legislation
  • In coordination with regulators, maintain all aspects of corporate and individual registrations for BlackRock Canada and its international affiliates, as necessary
  • Together with L&C partners, execute, oversee and maintain BlackRock Canada’s core compliance functions, including with respect to personal securities trading, gifts and entertainment, outside activities, as well as AML and KYC-related functions
  • Work with business partners to address matters related to portfolio compliance and investment guideline testing and maintenance
  • Review marketing materials, due diligence questionnaires and RFPs/RFIs
  • Create and maintain policies and procedures relevant to BlackRock Canada’s business
  • Participate in the creation and delivery of training programs
  • Respond to enquiries from clients, the iShares and institutional client businesses, and other internal clients in the US and international offices relating to Canadian compliance and regulatory matters
  • Monitor and understand regulatory developments and existing regulatory requirements, and communicate requirements to business partners and other stakeholders
  • Assist with new product development and special projects
  • Support other functions within L&C as may be required
  • Minimum of three (3) years of experience in a legal or compliance role in the investment management industry
  • Demonstrated experience with, and understanding of, the regulatory regime applicable to asset managers, exchange-traded funds and/or mutual funds, and institutional investment products
  • Undergraduate degree
  • Organized, accurate and detail-oriented; capacity for working effectively on multiple tasks simultaneously in a fast-paced environment
  • Ability to function both independently and as part of a team
  • Completion of the Canadian Securities Course is considered an asset
How to Apply:


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BlackRock is proud to be an Equal Opportunity and Affirmative Action Employer.  We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.

BlackRock will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law.

To apply:  Applying for a job | BlackRock Careers

Job requisition #R223718

Additional Information:

Our benefits

To help you stay energized, engaged and inspired. we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.

Our hybrid work pilot

BlackRock's current hybrid work pilot is designed to help you experience the best of both worlds: the opportunity to connect with colleagues in person and the flexibility to work remotely, with greater time to focus on what’s important to you. In line with local health guidance and regulations, employees are generally expected to work 3 days in the office and 2 days from home (on average) each week. For some business groups, more time may be required in the office, while greater flexibility may be in place for others. Our "One BlackRock" culture means you’ll be supported to collaborate with your new colleagues while bringing your full self to work – wherever you are.

The health, safety and well-being of our people will always be our top priorities; we will continue to monitor local conditions and health advisories in making decisions about our work environments.

About BlackRock

At BlackRock, we are all connected by one mission: to help more and more people experience financial well-being.  Our clients, and the people they serve, are saving for retirement, paying for their children’s educations, buying homes and starting businesses. Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress.

This mission would not be possible without our smartest investment - the one we make in our employees. It's why we’re dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive.