Legal and Compliance Counsel
BlackRock is a global leader in investment management, risk management and advisory services for institutional and retail clients. At December 31, 2016, BlackRock’s AUM was $5.1 trillion. BlackRock helps clients around the world meet their goals and overcome challenges with a range of products that include separate accounts, mutual funds, iShares® (exchange-traded funds), and other pooled investment vehicles. BlackRock also offers risk management, advisory and enterprise investment system services to a broad base of institutional investors through BlackRock Solutions®. As of December 31, 2016, the firm had approximately 13,000 employees in more than 30 countries and a major presence in global markets, including North and South America, Europe, Asia, Australia and the Middle East and Africa. For additional information, please visit the Company’s website at www.blackrock.com | Twitter: @blackrock_news | Blog: www.blackrockblog.com | LinkedIn: www.linkedin.com/company/blackrock
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 Counsel 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 an opportunity to cover multiple legal subject areas and to work directly within an innovative business unit.
This key role will report directly to FutureAdvisor’s General Counsel on legal and compliance issues. This role will also work with FutureAdvisor’s Chief Compliance Officer and partner with BlackRock’s broader Legal & Compliance Department.
Duties and Responsibilities:
- Providing counsel on investment management, strategic partnerships, technology, intellectual property, trading, contractual, and information security legal issues.
- Analyzing and adapting to developments in the fintech space.
- Helping to implement legal risk mitigation strategies (e.g., data privacy) across multiple disciplines (e.g., client contracts, vendor contracts, operational systems and compliance).
- 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.
- Supporting regulatory audits and examinations, assist with information requests and inquiries.
- Providing legal and compliance support and practical advice to FutureAdvisor’s business development, engineering, implementation, investments and operations teams.
What we're looking for:
- Candidates with a J.D. with superior academic credentials from a nationally-recognized law school, state bar membership and 3+ years’ experience as a lawyer in the legal department of a leading financial services organization or a major law firm
- An understanding of current legal issues in retail wealth management and/or the financial technology industry is desirable
- Understand the regulatory environment, including the Investment Advisers Act, the Securities Act, the Securities Exchange Act, and the Investment Company Act
- Experience with technology law matters should also be highlighted in resumes
- Familiarity with ERISA’s prohibited transaction rules and other provisions applicable to investment managers is desired but not required
- The successful candidate must have exceptional analytical, written and verbal communication skills. The candidate will have the ability and desire to develop expertise in new or unfamiliar areas of law
- Strong interpersonal and relationship-building skills
- Self-motivated and efficient, with good business judgment
- Ability to work effectively both independently and as a member of team, in a demanding, fast-paced, global environment
- Ability to work efficiently on multiple tasks and projects concurrently while responding promptly to inquiries from colleagues and internal clients
- Candidates must maintain the highest standards of professionalism and must pay careful attention to detail
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.
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