Legal & Compliance - Broker Dealer (Ecomms), Analyst at Blackstone

New Jersey, United States

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Not SpecifiedCompensation

Junior (1 to 2 years)Experience Level

Full TimeJob Type

UnknownVisa

Asset Management, Financial Services, Investment ManagementIndustries

Requirements

Bachelor's degree or equivalent, preferably with a focus in Law, Compliance, Finance, Data Science, or a related field
1+ 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
Highly motivated, intelligent, and demonstrated excellence in prior endeavors

Responsibilities

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
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
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
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

Skills

E-Comms Surveillance

Regulatory Compliance

Data Analysis

Quality Assurance Testing

Investigation

Remediation

Reporting

Conduct Risk

Market Manipulation

Policy Violation

Blackstone

Global alternative asset management firm

About Blackstone

Blackstone is a leader in alternative asset management, focusing on private equity, real estate, and credit investments. The firm manages over $1.1 trillion in assets and partners with financial advisors to provide access to private markets, aiming to create strong businesses that deliver lasting value. Its main products, BREIT and BCRED, cater to income-focused investors, while the On-Demand Continuing Education Program helps educate investors on private market topics. Blackstone's goal is to identify economic trends and invest in industry-leading businesses to generate strong returns.

New York City, New YorkHeadquarters

1985Year Founded

$18,081.8MTotal Funding

UNKNOWNCompany Stage

Financial Services, Real Estate, EducationIndustries

5,001-10,000Employees

Risks

Increased competition in AI may lead to overvaluation and market saturation.

Potential regulatory scrutiny due to significant investments in diverse sectors.

Economic instability in Europe could impact returns from European investments.

Differentiation

Blackstone is a global leader in alternative asset management with $1.1 trillion AUM.

The firm specializes in private equity, real estate, and credit investments.

Blackstone partners with financial advisors to provide access to private markets.

Upsides

Blackstone's $300M investment in DDN shows a strategic pivot towards AI-driven growth sectors.

The €250M investment in Sia Partners expands Blackstone's footprint in AI consulting services.

Partnership with Jersey Mike’s indicates investment in established consumer brands with growth potential.

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