Legal & Compliance - Regulatory Marketing Compliance, 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 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.
 

The employee will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and other investor/third party materials and communications, as well as working with others on Blackstone’s global Legal and Compliance (“L&C”) team.

The employee will be a member of the aforementioned team, which serves as the primary day-to-day counsel to the Institutional Client Solutions (ICS) and Private Wealth Solutions (PWS) teams across all business units within Blackstone with respect to distributing products and marketing materials (and other communications and documents) to investors. In this capacity, the employee will assist with legal and compliance matters that arise in connection with investor suitability, domestic and global marketing registration, marketing material compliance review (including analysis and resolution of regulatory questions and/or issues), and investor and third-party communications.  

You will also work closely with others on Blackstone’s global Legal and Compliance (L&C) team, including the Chief Compliance Officers of the business units and marketing review teams in the APAC and EMEA regions.

The employee will:

• Review marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies from a legal, regulatory and compliance perspective

• Review and advise on fund marketing and distribution related matters, helping to assess and manage regulatory and business risks.

• Manage the L&C relationship with several lines of business

• Provide support relating to materials responsive to existing investors’ legal and compliance-related requests

• Assist in maintaining internal policies and procedures and current regulatory guidance with respect to marketing and other related compliance matters

• Develop educational materials and trainings for business professionals with respect to marketing and fundraising regulations and protocols

• Assist in assessing current and prospective regulatory risk through industry interaction and research

• Assist with other day-to-day legal and compliance matters as needed

Qualifications:

Blackstone seeks to hire individuals who are highly motivated, intelligent, and have demonstrated excellence in prior endeavors.  More specifically, the successful candidate should have:

• 3+ years of prior experience at a law firm and/or investment management firm

• Prior experience in a compliance role and/or J.D. required; prior experience with marketing or distribution compliance is a plus. 

• Understanding of the Advisers Act and FINRA regulations strongly preferred

• Strong attention to detail and analytical skills

• Strong drafting and organizational skills

• Excellent judgment

• Ability to communicate confidently, effectively, and diplomatically

• Ability to work independently while remaining a strong team player

• Ability to interpret legal and business terms and grasp concepts quickly

• Substantial initiative, creativity and motivation

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:

$110,000 - $130,000

Actual base salary within that range will be determined by several components including but not limited to the individual's experience, skills, qualificat