Compliance – Bxpe – SVP

Compliance – Bxpe – SVP

Requirements

• A compliance professional (J.D. strongly preferred) with 10+ years of experience in the compliance and/or regulatory field within (a) a registered investment adviser, focusing on private equity, (b) regulatory agency, (c) a major law firm specialized in investment advisor regulation, fund formation, or corporate law, and/or (d) an accounting / consulting firm if focused on investment advisory industry
• Intelligent with capacity to understand difficult and complex compliance, legal, and business problems into commercially actionable work plans
• Compliance experience with registered funds, open-ended funds, public company reporting requirements, board roles, and service providers is a plus
• Strong knowledge of SEC, CFTC, and European private placement registration processes; and federal, state, and international securities law and regulation (including the Investment Advisers Act of 1940, ERISA, the Alternative Investment Fund Managers Directive, and the EU Market Abuse Regulation (and similar anti-insider trading regimes))
• Knowledge of (a) private fund operating documents including (LPAs, PPMs, and subscription agreements); (b) private fund key service provider agreements; and (c) investor eligibility requirements
• Desire to work as part of a highly collaborative legal and compliance team
• Ability to liaise between business team members (investment, portfolio management, client relations/services, marketing) and firm-wide corporate groups (legal (transactional), marketing, accounting, finance, operations, tax)
• Superb organizational skills; demonstrated strong writing ability; and strong interpersonal communications skills
• Ability to be proactive in new situations and to manage projects independently to conclusion

Responsibilities

• Provide broad support for the compliance program for BXPE business, team members, and investment portfolio consistent with applicable law and regulation (with particular focus on the U.S., U.K., and European Union)
• Coordinate across business unit and corporate teams to prepare regulatory reports and filings (e.g., Forms ADV, Form PF, Reg D, AIFMD, and Annex IV, 13H, 13F) and to perform annual 206(4)-7 compliance review
• Work with legal and compliance colleagues to (i) respond to requests from regulators, (ii) develop proactive responses to regulatory developments that impact the business (including sustainability-related matters), and (iii) prepare for regulatory examinations, including conducting mock examinations, each in conjunction with external consultants and counsel
• Develop, revise, and maintain compliance and regulatory policies, procedures, and controls taking into account the specific needs of the BXPE business, firm-wide policies and practices, and evolving legal and regulatory requirements
• Lead and assist with the development, maintenance, and delivery of compliance training to investment and support teams on key regulatory topics for new and existing employees; maintain training records; and ensure consistency with other Blackstone businesses
• Lead and provide support for review, preparation, and adherence to third-party advisor / consultant agreements and engagement letters (including for Blackstone Senior Advisors and Operating Advisors)
• Support review of fund marketing materials and assist with new product development in U.S. and non-U.S. jurisdictions

Preferred Qualifications

• Compliance experience with registered funds, open-ended funds, public company reporting requirements, board roles, and service providers is a plus
• Strong knowledge of SEC, CFTC, and European private placement registration processes; and federal, state, and international securities law and regulation (including the Investment Advisers Act of 1940, ERISA, the Alternative Investment Fund Managers Directive, and the EU Market Abuse Regulation (and similar anti-insider trading regimes))
• Knowledge of (a) private fund operating documents including (LPAs, PPMs, and subscription agreements); (b) private fund key service provider agreements; and (c) investor eligibility requirements