Compliance – Private Wealth Solutions – AVP

Compliance – Private Wealth Solutions – AVP

Requirements

• 5+ years of directly related experience in a legal or compliance role in a bank, investment firm, or law firm, with a substantial knowledge of relevant rules and regulations, as well as familiarity with the day-to-day compliance affairs of private funds (registered fund experience a plus)
• An undergraduate degree is required, and an MBA or law degree is a plus
• Strong time management and task/project management skills; possess an ability to manage multiple priorities and raise issues in a timely and productive fashion
• Superior organizational and communication skills, as well as a demonstrated ability to write effectively
• Ability to transform complex compliance, legal and business problems into commercially actionable work plans
• Capability to be proactive in new situations and to manage projects independently to conclusion
• Willingness to liaise between business team members (investment, asset management) and firm-wide corporate groups (legal, marketing, accounting, finance, operations, tax)
• Ability to develop productive professional relationships, internally and externally, and to work as part of a collaborative team
• Strong technical skills, intelligent, and ability to understand difficult, complex compliance and business problems
• The ability to work with colleagues to devise pragmatic and creative solutions
• Prioritization, perspective and focus on critical tasks that add value
• Excellent organizational skills and follow-through
• Highly effective oral and written communication skills
• Outstanding record of academic achievement and/or professional accomplishment
• Strong judgment and the ability to engender trust
• Sense of urgency; diligent and conscientious work ethic
• Able to implement a measured approach under pressure, be confident, and tolerate ambiguity

Responsibilities

• Providing broad support to the PWS compliance program and interacting with stakeholders across Blackstone’s business units
• Assisting in all compliance and regulatory matters: SEC and CFTC registrations, ERISA, state and federal, securities laws (including the Investment Advisors Act of 1940, the Securities Act of 1933, and the Exchange Act of 1934), as well as international regulations
• Providing broad support to the preparation of regular reports to PWS and Legal & Compliance stakeholders, as well as senior management regarding compliance matters
• Assisting with the day-to-day activities associated with overseeing PWS’ distributor due diligence program
• Providing support for the development of a global and customized training program for PWS
• Focusing on internal compliance policy review, including ongoing assessments, assisting with the annual 206(4)-7 compliance review, internal audit reviews, and ongoing or ad hoc reviews
• Working with in-house and external counsel to monitor and then implement responses to regulatory developments that impact the various Blackstone businesses
• Working with Blackstone central compliance regarding firm-wide compliance issues and projects, as well as special compliance/internal audit-related projects as necessary
• Working with PWS Legal & Compliance teams to assist with other ad hoc projects

Preferred Qualifications

• Experience with private wealth compliance is preferred