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Americas Regulatory Engagement and Broker-Dealer Compliance Analyst/Associate

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Americas Regulatory Engagement and Broker-Dealer Compliance Analyst/Associate

Princeton, NJ
Full Time
  • Responsibilities


    The Regulatory Engagement and Broker-Dealer Compliance team oversees BlackRock’s registered personnel’s compliance with applicable laws, rules and requirements, including those of FINRA, NFA, MSRB, and state securities, investment adviser and insurance regulators. The team is also responsible for engaging with BlackRock’s regulators across the Americas region, including examinations and inquiries, and providing management information related to such engagements for various internal and external reporting requirements.


    We are looking for a dynamic and enthusiastic candidate capable of functioning in an efficient, meticulous, and proactive manner, in a fast-paced environment. The candidate should be motivated, eager to learn, a team player, resourceful, organized, communicative and able to leverage the managers’ time by proactively completing tasks independently with integrity and strong attention to detail.

    The focus of the Compliance Associate/Analyst will be providing support for the implementation of the Firm’s employee and entity licensing and registration program, and assistance with various regulatory engagements, including examinations and inquiries of the various BlackRock regulated entities. Further, the Compliance Associate/Analyst would also assist in the overall maintenance and ongoing enhancement of a robust compliance program for BlackRock’s Broker-Dealer and NFA compliance programs, and other ad-hoc compliance projects.


    • Prepare and submit required regulatory forms for registering or terminating personnel in accordance with FINRA, SEC, MSRB, NFA and State laws, rules, and requirements

    • Assist senior compliance managers with regulatory engagements, including on-site exam coordination, document production and maintenance and reporting of related management information

    • Respond to internal inquiries and resolve registration issues with regulators, including state agencies

    • Understand and manage licensing & registrations systems (i.e., FINRA - Gateway, NFA ORS), background and fingerprint screening processes, and their downstream workflows

    • Monitor BlackRock registered personnel’s activities, including, new hire registrations, personal status changes and internal transfers ensuring filings are processed in a timely and accurate manner

    • Monitor supervisory structure and continuing education program

    • Prepare and maintain reporting records for business, registered representatives, and management oversight committees in various platforms

    • Assist with the following:

    • Revisions and implementation of the Firm’s Written Policies & Procedures, Training Materials, Certifications; conduct compliance trainings to business personnel

    • Providing timely, accurate and consistent regulatory guidance to business partners and identify compliance/regulatory issues associated with new business proposals

    • Various ongoing initiatives and ad-hoc projects, as needed


    • BS/BA degree required

    • Candidate must be determined, confident, and highly motivated

    • Candidate must have excellent organizational, project management, strong analytical, and inter-personal skills

    • Candidate must be a team player who is able to handle multiple projects at a time and produce work product with impeccable integrity and attention to detail

    • 0-2 years’ experience in regulatory compliance, legal or regulatory functions

    • Applicant must observe the highest degree of confidentiality in the handling of sensitive information received in connection with their responsibilities

    • Ability to build and maintain working relationships with business operations, human resources, corporate security; comfortable with communicating with all levels of staff

    • A working knowledge of financial services industry regulations, including registrations requirements, under FINRA, SEC, NFA, MSRB and/or State rules is a plus

    • Experience with FINRA’s WebCRD and NFA’s ORS registrations systems is a plus

    • Strong technical proficiency in Windows applications (i.e. Excel, Word, PowerPoint)


    This position can be located in BlackRock’s Atlanta, Georgia or Princeton, New Jersey offices.


    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.


    BlackRock’s current hybrid work pilot is designed to help you experience the best of both worlds: the opportunity to connect with colleagues in person and the flexibility to work remotely, with greater time to focus on what’s important to you. In line with local health guidance and regulations, employees are generally expected to work 3 days in the office and 2 days from home (on average) each week. For some business groups, more time may be required in the office, while greater flexibility may be in place for others. Our “One BlackRock” culture means you’ll be supported to collaborate with your new colleagues while bringing your full self to work - wherever you are.

    The health, safety and well-being of our people will always be our top priorities; we will continue to monitor local conditions and health advisories in making decisions about our work environments.


    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.

    For additional information on BlackRock, please visit | | Instagram: @blackrock | Twitter: @blackrock | LinkedIn:

    BlackRock is proud to be an Equal Opportunity and Affirmative Action Employer. We evaluate qualified applicants without regard to race, color, national origin, religion, sex, sexual orientation, gender identity, disability, protected veteran status, and other statuses protected by law.

    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.

  • Industry
    Financial Services
  • Fun Fact
    We offer a fun, entrepreneurial culture you wouldn’t typically find at a financial services company. You can even wear jeans to work!
  • About Us

    BlackRock’s purpose is to help more and more people experience financial well-being. As a fiduciary to investors and a leading provider of financial technology, we help millions of people build savings that serve them throughout their lives by making investing easier and more affordable.