Legal and Compliance Associate
FutureAdvisor, a subsidiary of BlackRock, Inc. (ticker BLK) is a leader in the financial technology (fintech) industry. Our mission is to expand access to wealth management by delivering our digital platform through banks, financial advisors, and other institutional partners.
We are seeking a Legal and Compliance Associate to support the expansion of our investment management and technology services and to help build the next generation of digital tools and services for retail investors and our business partners. This role provides a unique opportunity to cover a broad area of substantive laws and regulations and to work directly within an innovative business unit. This key role will report directly to FutureAdvisor’s Chief Compliance Officer on regulatory compliance issues. This role will also work with FutureAdvisor’s General Counsel and BlackRock’s broader Legal & Compliance Department.
· Assisting with legal and regulatory compliance for investment management and trading, strategic partnerships, technology, and information security issues.
· Assisting with the development and implementation of compliance policies and procedures, in addition to working on long-term projects to maintain the firm's high standards of compliance with new and existing regulations.
· Designing and executing compliance monitoring processes, and assisting with the development and implementation of compliance policies and procedures, in addition to working on long-term projects to maintain the firm's high standards of compliance with new and existing regulations.
· Reviewing and assisting with the preparation of marketing materials, disclosure documents, and press releases in accordance with the Advisers Act.
· Helping to implement regulatory, legal, operational, and reputational risk mitigation strategies across multiple disciplines (e.g., data privacy, consumer-facing disclosures, operational systems, and legal and compliance)
· Supporting regulatory audits and examinations, assist with information requests and inquiries.
· Providing legal and compliance support and assisting in the design of compliance-related products and services and other company products having compliance impact.
· 2-4 years of asset management, retail broker-dealer, technology, or financial services regulatory experience
· Strong knowledge of US federal securities laws. Knowledge of privacy law, information security standards, and current legal issues in the financial technology industry is a plus
· Effective project management skills
· Strong analytical, written and oral communication, and interpersonal skills.
· Candidates must maintain the highest standards of professionalism and must be detail oriented
· Ability to work efficiently on multiple tasks and projects concurrently while responding promptly to inquiries from colleagues and internal clients
· Bachelor’s degree required. Master’s degree and/or J.D. a plus.
FutureAdvisor is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, sex, disability, veteran status, and other statuses protected by law.
FutureAdvisor will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of Article 49 of the San Francisco Police Code.
Primary Location : Americas-United States-San Francisco
Job Posting : Jun 7, 2017, 4:27:55 PM
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