Legal & Compliance - Broker Dealer (Ecomms), Associate

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, Twitter, 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 Bla