Legal & Compliance - Conflicts Clearance, VP
Company: myGwork
Location: Miami
Posted on: January 27, 2023
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Job Description:
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 $951 billion 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. Further information is available at
www.blackstone.com . Follow @blackstone on LinkedIn , Twitter , and
Instagram .
Job Title : Legal & Compliance - Conflicts Clearance, VP
Job Description:
The successful candidate for this position will assist in the
firm's conflicts clearance process and restricted and watch lists
and will play a significant role in the implementation and
oversight of the firm's information walls. The successful candidate
will have strong analytical skills and judgment that will enable
them to identify and address or escalate a wide variety of issues.
The candidate must also possess substantial initiative and drive
that will allow them to assist with and adapt to an upgrade of the
firm's systems around conflicts clearance. In addition, this
position will require working on other compliance-related
initiatives such as the implementation of the firm's market
soundings policy and trade surveillance.
Responsibilities :
Key responsibilities would include:
Evaluating potential transactions to determine what names, if any,
should be placed on the firm's restricted or watch lists
Communicating with other legal and compliance groups and deal teams
to determine when companies should be added to or removed from the
firm's watch lists and restricted lists (e.g. MNPI/inside
information assessment)
Identifying potential transactional conflicts and escalating
accordingly to the appropriate legal and business contacts
Draft and coordinate firmwide responses to regulatory
examinations
Analyzing the firm's touchpoints with companies to determine the
existence of potential conflicts of interest
Formulating recommendations for addressing potential conflicts of
interest
Documenting analysis for clearing conflicts
Obtaining deal updates from the investment teams
Evaluating and managing wall-crossing requests
Reviewing trade pre-clearances from public side businesses
Assisting with personal trading pre-clearances as needed
Enhancing the firm's systems for documenting conflicts checks and
the restricted list/watch list
Qualifications:
Blackstone seeks to hire individuals who are highly motivated,
intelligent and have demonstrated excellence in prior endeavors. In
addition, Blackstone is seeking the following for this
position:
Bachelor's degree or equivalent
5+ years of work experience at a major financial services firm in
the control room and/or conflicts management group, or relevant
legal and compliance experience required
Experience responding to regulatory examinations, including but not
limited to FINRA and the SEC
Strong analytical and issue-spotting skills
Ability to communicate confidently and effectively
Ability to work independently but still be a strong team player
Substantial initiative, creativity and drive
Attention to detail
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:
$140,000 - $175,000 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.
Additional compensation: 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 contact Human Resources at 212-583-5000 (US),
+44 (0)20 7451 4000 (EMEA) or +852 3656 8600 (APAC).
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 and client questions;
Marketing Blackstone funds to new or existing clients;
Supervising or training securities licensed employees;
Structuring or creating Blackstone funds/products; and
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.
To submit your application please complete the form below. Fields
marked with a red asterisk * must be completed to be considered for
employment (although some can be answered "prefer not to say").
Failure to provide this information may compromise the follow-up of
your application. When you have finished click Submit at the bottom
of this form.
This employer is a corporate member of
myGwork - LGBTQ+ professionals, the business community for LGBTQ+
professionals,
students, inclusive employers & anyone who believes in workplace
equality.
Keywords: myGwork, Miami , Legal & Compliance - Conflicts Clearance, VP, Executive , Miami, Florida
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