Legal & Compliance - Code of Ethics, Conflicts, AVP at Blackstone

Miami, Florida, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years), Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Finance, Asset ManagementIndustries

Requirements

Bachelor’s degree or equivalent degree
5+ years of work experience, ideally at a major financial services firm in central compliance with a focus on conduct and ethics
Strong organizational, analytical, and technical skills
Experience evaluating and implementing compliance systems
Experience responding to regulatory examinations and inquiries

Responsibilities

Provide day-to-day support for the firm’s central compliance and code of ethics programs
Work collaboratively with the team to improve and adapt the program in a rapidly changing regulatory and business environment
Review and approve personal trading clearance requests
Review and escalate relevant personal trading activity
Coordinate 407 and Stop Letters for employee brokerage accounts
Maintain the various compliance technology solutions implemented by the Firm
Review and approve gifts and entertainment requests
Assist with the firm-wide Annual Attestation process
Develop, maintain and test policies, procedures and controls to ensure adherence to laws, regulations and firm policies and procedures
Assist with the development and maintenance of compliance training, guidelines and rules of the road on key regulatory topics, and maintenance of training records
Coordinate across internal and external teams in the preparation of responses to regulatory review of trading requests and beneficial ownership filings

Skills

Key technologies and capabilities for this role

Regulatory ComplianceCode of EthicsPersonal Trading ReviewBrokerage Statement ReviewGifts and Entertainment ApprovalPolitical ContributionsCompliance TechnologyPolicy DevelopmentCompliance TrainingAnnual AttestationRegulatory Responses

Questions & Answers

Common questions about this position

What experience is required for this Legal & Compliance AVP role?

Candidates need a Bachelor’s degree or equivalent, 5+ years of work experience ideally at a major financial services firm in central compliance with a focus on conduct and ethics, strong organizational, analytical, and technical skills, experience evaluating and implementing compliance systems, and experience responding to regulatory examinations and inquiries.

What is the location or work arrangement for this position?

This information is not specified in the job description.

What does the role report to?

The role reports to the Global Head of the Code of Ethics Team.

What is the salary or compensation for this position?

This information is not specified in the job description.

What makes a strong candidate for this compliance role at Blackstone?

A strong candidate will have 5+ years in central compliance at a major financial services firm focusing on conduct and ethics, strong analytical skills, experience with compliance systems, and the ability to handle regulatory inquiries while demonstrating initiative.

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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