Legal & Compliance - Broker Dealer; FINRA Registration Support), Associate

Legal & Compliance - Broker Dealer (FINRA Registration Support), Associate Blackstone
• Miami, FL, US

Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1.1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis.

Responsibilities:

• Assist in drafting and maintaining FINRA Forms and Filings (e.g., U4, U5,  , and BD)
• Monitor exam status reports and follow-up with registered representatives pending examinations
• Assist with annual FINRA/States registration renewals
• Assist in scheduling FINRA exams, fingerprints, and ordering study materials
• Assist with drafting FINRA licensing waiver requests and FINRA review of trading requests
• Coordinate with compliance team members to assess FINRA registration requirements
• Track FINRA continuing education requirements and escalate when necessary
• Maintain list of branch offices and BD/IA affiliates
• Create and maintain complete records for each registered representative and FINRA Gateway user accounts
• Research applicability of FINRA licensing rules to the firm
• Review registered representative disclosures and correct licensing deficiencies
• Develop and maintain FINRA licensing policies, procedures and controls to ensure adherence to laws, regulations and firm standards

Qualifications:

• Proficiency in FINRA licensing and registrations and a working knowledge of FINRA Gateway
• Bachelor's degree or equivalent
• 2+ years of working experience, ideally at a major financial services firm in compliance
• Proficient in Microsoft-based software products including Word, Excel, and Outlook
• Strong commitment to providing excellent customer service
• Strong analytical skills, attention to detail, and multitasking skills
• Works well independently while collaborating effectively as part of a team

The duties and responsibilities described here are not exhaustive and additional assignments, duties, or responsibilities may be required of this position. Assignments, duties, and responsibilities may be changed at any time, with or without notice, by Blackstone in its sole discretion.

Expected annual base salary range: $115,000 - $150,000. Actual base salary within that range will be determined by several components including but not limited to the individual's experience, skills, qualifications and job location. For roles located outside of the US, please disregard the posted salary bands as these roles will follow a separate compensation process based on local market comparables. Base salary does not include other forms of compensation or benefits offered in connection with the advertised role.

Blackstone is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other class or status in accordance with applicable federal, state and local laws.

This policy applies to all terms and conditions of employment, including but not limited to hiring, placement, promotion, termination, transfer, leave of absence, compensation, and training. All Blackstone employees, including but not limited to recruiting personnel and hiring managers, are required to abide by this policy.

If you need a reasonable accommodation to complete your application, please email Human Resources at HR-Recru

Depending on the position, you may be required to obtain certain securities licenses if you are in a client facing role and/or if you are engaged in the following:

• Attending client meetings where you are discussing Blackstone products and/or client questions
• Marketing Blackstone funds to new or existing clients
• Supervising or training securities licensed employees
• Structuring or creating Blackstone funds/products
• Advising on marketing plans prepared by a sales team or developing and/or contributing information for marketing materials.

Note:

The above list is not the exhaustive list of activities requiring securities licenses and there may be roles that require review on a case-by-case basis. Please speak with your Blackstone Recruiting contact with any questions.

Legal Compliance Broker Dealer FINRA Registration Support Associate
• Miami, FL, US