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Legal & Compliance - Marketing & Distribution Compliance, Associate

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Blackstone Group

2mo ago

  • Job
    Full-time
    Mid Level
  • Marketing
    Legal
  • $110K - $130K
  • New York City
  • Quick Apply

AI generated summary

  • You need 3+ years compliance or legal experience, J.D. preferred, with strong attention to detail, communication, and ability to work independently. Familiarity with Advisers Act and FINRA regulations preferred. Be motivated, creative, and willing to work flexible hours.
  • You will review marketing materials, advise on fund marketing, manage relationships with lines of business, handle investor requests, maintain policies, develop training materials, assess regulatory risks, and assist with legal and compliance matters as needed.

Requirements

  • 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
  • Available to work outside of regular business hours as needed.

Responsibilities

  • 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

FAQs

What are the main responsibilities of a Legal & Compliance Associate in Marketing & Distribution Compliance?

The main responsibilities include providing legal and compliance counsel to the Institutional Client Solutions and Private Wealth Solutions teams, assisting with investor suitability, marketing registration, compliance review of marketing materials, and handling investor and third-party communications.

Who does a Legal & Compliance Associate in Marketing & Distribution Compliance work closely with?

The associate works closely with members of Blackstone's global Legal and Compliance team, including the Chief Compliance Officers of the business units and marketing review teams in the APAC and EMEA regions.

Blackstone Group

Finance
Industry
1001-5000
Employees
1985
Founded Year

Mission & Purpose

Blackstone is a global investment firm that specialises in alternative asset management and financial advisory services. The company engages in various investment activities, including private equity, real estate, credit, and hedge fund solutions. Blackstone's ultimate mission is to generate attractive investment returns for their clients while managing risk prudently. Their purpose is to provide exceptional investment opportunities and value-added services to their investors, aiming to create lasting value and deliver superior performance. Blackstone strives to be a trusted partner for their clients, leveraging their deep industry expertise, global network, and disciplined investment approach to drive long-term success and contribute to the growth and development of the companies and assets they invest in.

Culture & Values

  • Relentlessly pursue excellence

    We strive to be the best at what we do, applying our global talent and scale to generate compelling outcomes for our clients.

  • Never compromise integrity

    We adhere to the highest standards of integrity, maintaining and deepening our clients’ trust.

  • Outperform through innovation

    We approach our work with a builder mindset, creating new opportunities through innovation and entrepreneurialism.

  • Deliver for our customers

    We are meticulous custodians of capital, deploying it when we have conviction that we can deliver lasting value.

  • Work humbly, work together

    We build diverse teams of extraordinary professionals who advocate for the best ideas and celebrate each other’s wins.

Benefits

  • Health Insurance

  • Vision Insurance

  • Performance Bonus

  • Maternity & Paternity Leave

  • Flexible Spending Account (FSA)

  • Dental Insurance

  • Life Insurance