Legal & Compliance – Code of Ethics – Conflicts – Analyst
| Company | Blackstone |
|---|---|
| Location | Miami, FL, USA |
| Salary | $90000 – $125000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Entry Level/New Grad, Junior |
Requirements
- Bachelor’s degree or equivalent degree
- Strong organizational, analytical and technical skills
- 6 months or more of work experience, ideally at major financial services firm in compliance
- Experience evaluating and implementing compliance systems
- Experience responding to regulatory examinations and inquiries
- Strong analytical, attention to detail and issue-spotting skills
- Ability to communicate confidently and effectively
- Ability to work independently but still be a strong team player
- Substantial initiative, creativity and drive
Responsibilities
- Provide day-to-day support for the firm’s central compliance and code of ethics programs working 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
Preferred Qualifications
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No preferred qualifications provided.