⚖️Legal & Compliance (2)

Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com. Follow @blackstone on LinkedIn, X, and Instagram.

Department: Legal & Compliance - Central Compliance

Position Overview

The Legal and Compliance Department is seeking an E-Comms Surveillance Associate to join the central compliance team. The successful candidate will be responsible for providing support in the day-to-day e-comms surveillance program to ensure compliance with regulatory requirements and internal policies.

Key Responsibilities:

Surveillance and Monitoring

Provide day-to-day support for the firm’s e-comms surveillance program, working collaboratively with the team to manage and improve the program in a fast-paced environment.

Investigation, Remediation and Reporting

Thoroughly investigate e-comms escalations and document findings.
Collaborate with legal and compliance teams to make determinations about policy violations and implement corrective actions.

Prepare detailed reports on surveillance activities, findings, and remediation efforts.
Present findings and recommendations to management and other key stakeholders.

Data Analysis and Quality Assurance Testing

Contribute to the design and development of the e-comms surveillance program, focusing on conduct risk, compliance policies, and market manipulation.
Conduct technology-driven data analysis and quality assurance testing to refine the efficacy of sampling policies and filtering mechanisms.
Develop e-comms training initiatives and ensure effective training delivery.

Perform ad hoc reviews of inbound, outbound, and internal correspondence as necessary.

Communication and Collaboration

Work closely with cross-functional teams, including IT, legal, and operations, to evaluate and implement industry best practices and new technologies.
Assess and evaluate other software vendors to identify potential solutions that enhance e-comms surveillance capabilities, ensuring alignment with compliance requirements and organizational needs.
Provide ad hoc support on other legal & compliance areas, including Anti-Money Laundering, Code of Ethics and Broker-Dealer Compliance.

Qualifications:

Blackstone seeks to hire individuals who are highly motivated, intelligent, and have demonstrated excellence in prior endeavors. In addition, the successful candidate must meet the following qualifications:

Bachelor's degree or equivalent, preferably with a focus in Law, Compliance, Finance, Data Science, or a related field.
3+ years of experience in a legal/compliance or similar role, ideally at a major financial services firm.
Broker-Dealer, Investment Advisor or Banking compliance, supervision, or regulatory experience is a plus.
Strong knowledge of Global Relay, Bloomberg, or similar platforms.
Experience evaluating and implementing compliance systems.
Strong analytical skills, judgment, attention to detail, and issue-spotting abilities.
Ability to communicate confidently and effectively.
Ability to work independently while being a strong team player.
Substantial professional integrity, initiative, creativity, and drive.

The duties and responsibilities described here are not exhaustive and additional assignments, duties, or responsibilities may be required of this position. Assignments, duties, and responsibilities may be changed at any time, with or without notice, by Blackstone in its sole discretion.

Expected annual base salary range:

$115,000 - $150,000

Actual base salary within that range will be determined by several components including but not limited to the individual's experience, skills, qualifications and job location. For roles located outside of the US, please disregard the posted salary bands as these roles will follow a separate compensation process based on local market comparables.

Additional compensation: Base salary does not include other forms of compensation or benefits offered in connection with the advertised role.

Blackstone is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other class or status in accordance with applicable federal, state and local laws. This policy applies to all terms and conditions of employment, including but not limited to hiring, placement, promotion, termination, transfer, leave of absence, compensation, and training. All Blackstone employees, including but not limited to recruiting personnel and hiring managers, are required to abide by this policy.

If you need a reasonable accommodation to complete your application, please email Human Resources at [email protected].

Depending on the position, you may be required to obtain certain securities licenses if you are in a client facing role and/or if you are engaged in the following:

Attending client meetings where you are discussing Blackstone products and/or and client questions;
Marketing Blackstone funds to new or existing clients;
Supervising or training securities licensed employees;
Structuring or creating Blackstone funds/products; and
Advising on marketing plans prepared by a sales team or developing and/or contributing information for marketing materials.

Note: The above list is not the exhaustive list of activities requiring securities licenses and there may be roles that require review on a case-by-case basis. Please speak with your Blackstone Recruiting contact with any questions.

To submit your application please complete the form below. Fields marked with a red asterisk * must be completed to be considered for employment (although some can be answered "prefer not to say"). Failure to provide this information may compromise the follow-up of your application. When you have finished click Submit at the bottom of this form.

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