Legal & Compliance – Credit & Insurance (BXCI) – Regulatory Attorney, AVP

Primary job responsibilities

• Support senior members of Compliance and Legal teams on compliance and regulatory matters arising from the SEC, CFTC, and DOL (ERISA), as well as compliance with all relevant federal, state and international securities laws (including the Investment Advisers Act of 1940, the Securities Act of 1933 and the Exchange Act of 1934)
• Devise, initiate, maintain, and revise compliance and regulatory policies, procedures, controls, and training based on the specific needs of the business and current regulatory requirements including the annual review under Rule 206(4)-7
• Draft and review disclosures and communications to investors and business professionals as well as memoranda implementing policies and procedures
• Serve as lead to coordinate responses to requests from marketing team for information related to DDQs, marketing materials, and other client requests
• Provide regulatory and compliance advice to investment professionals with a focus on the private credit and corporate bond trading strategies and other personnel including preparation of reports to the investment team and senior management regarding compliance matters
• Respond to requests from regulators, prepare for regulatory examinations, and conduct mock examinations in conjunction with external consultants and counsel
• Work with in-house Legal and Compliance team and external counsel to monitor, and then implement responses to, regulatory developments that impact the businesses, particularly with respect to sustainability matters
• Support various business groups, including investment, marketing, accounting, operations and middle office departments

Qualifications

• BXCI is seeking an attorney with 5+ years of experience in a law firm and as a compliance professional (preferably at a credit focused asset manager and/or at a regulatory consultant) to join a compliance team doing challenging work in an extremely fast-paced environment
• Law firm experience is required. Experience within a law firm fund formation group or regulatory practice group is strongly preferred
• Must demonstrate excellent communication skills and possess drafting experience
• Proactive in new situations and to independently manage projects to conclusion is important
• Must be willing to roll up sleeves and work with a variety of personalities
• Must be a strong and independent thinker with excellent interpersonal and communication skills
• Must have a calm demeanor, tolerance for ambiguity, confidence and conscientious work ethic
• Knowledge of and expertise in communicating risks, best practices and regulatory requirements (U.S. and international)
• Desire to work as part of a highly collaborative legal and compliance team in a fast-paced environment and willingness to embrace a variety of issues