Vice President, APAC Lead, Regulatory Risk and Review
Luke is responsible for overseeing Compliance Monitoring and Transaction Surveillance in APAC. The Compliance Monitoring team undertakes risk-based assessments and monitoring of regulatory compliance risks. In this regard, Luke is responsible for supporting the delivery of the annual compliance monitoring programme for BlackRock. Luke is also a member of BlackRock’s Hong Kong Compliance team with additional responsibilities for Core and Corporate Compliance. In these roles Luke’s responsibilities include regulatory licensing, G&E, outside activities and personal trading.
Luke joined the BlackRock EMEA Compliance Monitoring team in 2014. Prior to this, Luke worked at PwC in the UK Asset Management Regulatory Practice and was responsible for delivery of regulatory projects related to both conduct of business and prudential issues for asset management firms of all types and sizes. Luke was also an associate at the Financial Services Authority in Supervision: Major Retail Groups Division, supervising large captive asset management firms.