Associate, Regulatory Engagement and Broker-Dealer Compliance

Regulatory Engagement And Broker-Dealer Compliance Associate

The Regulatory Engagement and Broker-Dealer Compliance team plays a critical role in maintaining Black Rock's regulatory compliance framework across the Americas. The team oversees registered personnel compliance requirements and supports engagement with a broad range of regulators, including the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), Municipal Securities Rule making Board (MSRB), National Futures Association (NFA), and state securities, investment adviser, and insurance regulators.

The team also coordinates regulatory examinations and inquiries, delivers management reporting, and contributes to a strong culture of compliance, transparency, and risk management.

As an Associate within Legal & Compliance, you will support the maintenance and enhancement of Black Rock's broker-dealer, regulatory engagement, and NFA compliance programs. You will work closely with compliance professionals, regulators, and business stakeholders to help ensure regulatory obligations are met, examinations are managed effectively, complaints are administered appropriately, and emerging regulatory risks are identified and addressed. This role offers broad exposure to regulatory compliance activities and provides an opportunity to contribute to critical initiatives that support the firm's regulatory and governance objectives.

Your responsibilities include:

• Prepare and submit regulatory registration and termination filings; administer licensing, registration, background-screening, and fingerprint processes; and monitor new hires, personal-status changes, and internal transfers to support timely and accurate filings.
• Support regulatory examinations and inquiries by coordinating planning, requests, document production, stakeholder communications, issue tracking, and reporting, while resolving escalated registration matters with regulators and internal partners.
• Coordinate the intake, tracking, and administration of customer complaints across the Americas, and analyze complaint data to identify emerging risks, trends, escalation needs, and potential remediation.
• Monitor regulatory and industry developments and prepare recurring and ad hoc management information reporting, dashboards, and records concerning examinations, inquiries, emerging risks, registered representatives, and governance oversight.
• Support the maintenance and implementation of broker-dealer policies, procedures, training materials, and certifications, and provide timely regulatory guidance concerning business activities and new proposals.
• Contribute to ongoing initiatives and projects, using artificial intelligence, data analytics, and emerging technologies to streamline processes and generate insights while maintaining appropriate governance, accuracy, and responsible-use standards.

Your experience includes:

• Bachelor's degree and foundational experience or demonstrated capability in regulatory compliance, legal, or regulatory work.
• Solutions-oriented approach with strong organizational, project-management, analytical, problem-solving, and interpersonal skills.
• Ability to collaborate effectively, manage multiple priorities, produce accurate work with integrity and attention to detail, and handle sensitive information with appropriate confidentiality.
• Ability to build effective relationships across business operations, human resources, corporate security, and other stakeholders, with clear communication across organizational levels.
• Knowledge of financial-services registration requirements administered by the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), National Futures Association (NFA), Municipal Securities Rule making Board (MSRB), or state regulators; familiarity with relevant registration systems is preferred.
• Strong digital mindset, proficiency with common productivity applications, and the ability to learn evolving technologies and processes; ability to obtain the Securities Industry Essentials (SIE), Series 7, and Series 24 qualifications within two years of employment is preferred.