Associate, Regulatory Engagement and Broker-Dealer Compliance
BlackRock · Princeton, United States +1 · 25d ago
About this role
Your team
The Regulatory Engagement and Broker-Dealer Compliance team plays a critical role in maintaining BlackRock’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 Rulemaking 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.
Your role and impact
As an Associate within Legal & Compliance, you will support the maintenance and enhancement of BlackRock’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
In every role at BlackRock, you'll be expected to apply sound judgement and critical thinking to solve complex problems, adapt as the business evolves, and combine the curiosity to explore new approaches and technologies with the rigor to challenge the results. The scope of this role also includes the following responsibilities:
- 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
- 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 Rulemaking 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.
Our benefits
To help you stay energized, engaged and inspired, we offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents and Flexible Time Off (FTO) so you can relax, recharge and be there for the people you care about.
Our hybrid work model
BlackRock’s hybrid work model is designed to enable a culture of collaboration and apprenticeship that enriches the experience of our employees, while supporting flexibility for all. Employees are currently required to work at least 4 days in the office per week, with the flexibility to work from home 1 day a week. Some business groups may require more time in the office due to their roles and responsibilities. We remain focused on increasing the impactful moments that arise when we work together in person – aligned with our commitment to performance and innovation. As a new joiner, you can count on this hybrid model to accelerate your learning and onboarding experience here at BlackRock.
Guidance on AI use for candidates
At BlackRock, AI has long been part of how we work – enhancing decision-making, improving operations, and helping us deliver better outcomes for clients. We encourage candidates to use AI thoughtfully to learn, prepare, and work more effectively; but during our interview process, we want to focus on getting to know you through your own experiences, thinking, and judgment. To support you, we’ve provided guidance on when and how to use AI during our hiring process so you can approach each step with confidence and showcase your best self.
About BlackRock
At BlackRock, we are all connected by one mission: to help more and more people experience financial well-being. Our clients, and the people they serve, are saving for retirement, paying for their children’s educations, buying homes and starting businesses. Their investments also help to strengthen the global economy: support businesses small and large; finance infrastructure projects that connect and power cities; and facilitate innovations that drive progress.
This mission would not be possible without our smartest investment – the one we make in our employees. It’s why we’re dedicated to creating an environment where our colleagues feel welcomed, valued and supported with networks, benefits and development opportunities to help them thrive.
To learn more about BlackRock, please visit Careers.BlackRock.com. We also encourage you to get to know us on LinkedIn, Instagram, YouTube, X, and TikTok.
BlackRock is proud to be an equal opportunity workplace. We are committed to equal employment opportunity to all applicants and existing employees, and we evaluate qualified applicants without regard to race, creed, color, national origin, sex (including pregnancy and gender identity/expression), sexual orientation, age, ancestry, physical or mental disability, marital status, political affiliation, religion, citizenship status, genetic information, veteran status, or any other basis protected under applicable federal, state, or local law. View the EEOC’s Know Your Rights poster and its supplement and the pay transparency statement.
BlackRock is committed to full inclusion of all qualified individuals and to providing reasonable accommodations or job modifications for individuals with disabilities. If reasonable accommodation/adjustments are needed throughout the employment process, please email Disability.Assistance@blackrock.com. All requests are treated in line with our privacy policy.
BlackRock will consider for employment qualified applicants with arrest or conviction records in a manner consistent with the requirements of the law, including any applicable fair chance law.