Legal & Compliance – Broker Dealer – Ecomms – Analyst
| Company | Blackstone |
|---|---|
| Location | Jackson Township, NJ, USA |
| Salary | $90000 – $125000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Junior, Mid Level |
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.
- 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.
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.
Preferred Qualifications
- Broker-Dealer, Investment Advisor or Banking compliance, supervision, or regulatory experience is a plus.