Legal & Compliance - Marketing & Distribution Compliance, VP

Blackstone; Summit (NJ); On-site; USD 150,000 - 250,000; Full time

Job summary

A leading investment management firm is seeking a VP for Marketing & Distribution Compliance based in Summit, NJ. The role involves reviewing marketing materials and compliance management, requiring 8+ years of experience and a J.D. degree. Candidates should possess strong attention to detail, analytical skills, and excellent communication capabilities. Competitive compensation offered between $150,000 - $250,000 annually.

Qualifications

• 8+ years of experience in law/ investment management.
• Experience in compliance role required.
• Understanding of Advisers Act and FINRA regulations preferred.

Responsibilities

• Review marketing materials from a compliance perspective.
• Supervise and train staff on compliance reviews.
• Advise business on compliance matters.

Skills

Attention to detail

Analytical skills

Project management

Communication skills

Time management

Education

J.D. degree

Job description

Join to apply for the Marketing & Distribution Compliance, VP role at Blackstone

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. Further information is available at www.blackstone.com. Follow @blackstone on LinkedIn, X, and Instagram.

The employee will be a member of the compliance team focusing on regulatory compliance issues with respect to marketing and other investor/third-party materials and communications, as well as working with others on Blackstone’s global Legal and Compliance (“L&C”) team. The VP will serve as the primary day-to-day counsel with respect to marketing materials and other communications and documents for one or more products. In this capacity, they will be responsible for reviewing investor and third-party communications, supervising staff in their reviews, advising on legal and compliance matters that arise in connection with investor suitability, domestic and global marketing registration, and analysis and resolution of regulatory questions.

Responsibilities

• Review marketing materials, due diligence responses, investor communications, and other fundraising and reporting-related materials (e.g. quarterly letters, recordings, memoranda, etc.) across various investment strategies from a legal, regulatory, and compliance perspective;
• Supervise and train staff to conduct marketing compliance reviews;
• Manage the L&C relationship with several lines of business and related products;
• Attend client meetings to discuss Blackstone products and address client questions;
• Serve as primary counsel to the business advising on existing investors’ legal and compliance-related requests;
• Develop internal policies and procedures with respect to marketing and other related compliance matters, and assist maintaining broader L&C policies and procedures, all consistent with current regulatory guidance;
• Develop educational materials and trainings for business professionals with respect to marketing and fundraising regulations and protocols;
• Assess current and prospective regulatory risk through industry interaction and research; and
• Assist with other day-to-day L&C matters as needed.

In addition, the employee will have the opportunity to work with legal and compliance teams dedicated to Blackstone’s various other business units and geographic regions and will assist in developing cross-functional compliance policies and procedures supporting regulatory compliance in various geographic regions.

Qualifications

• 8+ years of prior experience at a law firm and/or investment management firm;
• Prior experience in a compliance role and/or J.D. required;
• Understanding of the Advisers Act and FINRA regulations strongly preferred;
• Knowledge of hedge funds and drawdown funds a plus;
• Strong attention to detail and analytical skills;
• Strong project management and organizational skills with ability to manage multiple and sometimes conflicting demands;
• Ability to transform complex compliance, legal, and business problems into commercially actionable work plans;
• Highly effective oral and written communication skills, communicates confidently and effectively;
• Ability to work independently while remaining a strong team player who works collaboratively and builds strong working relationships;
• Proactive time management skills and the ability to manage projects independently and to conclusion;
• Substantial initiative, creativity and drive and the ability to implement a measured approach under competing demands.
• Role may require work outside of regular business hours as needed.

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: $150,000 - $250,000

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 email [e-mail].

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.

Seniority level

• Executive

Employment type

• Full-time

Job function

• Marketing and Sales