Legal & Compliance - APAC Compliance, Coordinator

Blackstone is the world’s largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1 trillion in assets under management include investment vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity, opportunistic, non-investment grade credit, real assets and secondary funds, all on a global basis. Further information is available at www.blackstone.com. Follow @blackstone on LinkedIn, Twitter, and Instagram.
 

The candidate will join Blackstone’s Legal and Compliance department in Tokyo and support its businesses throughout the region. Blackstone has offices across Asia Pacific including: Hong Kong, Mumbai, Singapore, Tokyo, Sydney, Shanghai, Seoul and Beijing. The work will be compliance related with a focus on APAC regulatory issues with respect to marketing and other investor/third party materials and communications. More specifically, the successful candidate will:

• Ensure timely execution of regulatory filings and notifications for Blackstone Japan as well as Blackstone-managed funds registered in Japan with various regulators

• Manage submission of periodic regulatory reports

• Ensure registration status of JSDA sales representatives, including training requirements

• Maintain legal ledgers as well as various compliance registers and logs

• Monitor fund registrations and regulatory notifications for Blackstone funds

• Conduct periodic checks on compliance with Japan-specific rules and policies including but not limited to Blackstone Japan’s Compliance manual, the Japan AML Act, the Personal Information Protection Act, etc.

• Perform compliance checks on new clients and vendors

• Assist in ensuring proper documentation for Blackstone Japan’s board/shareholder meetings and resolutions to comply with the Companies Act

• Assist in periodically updating Blackstone Japan’s policies and procedures

• Assist in handling regulatory inquiries and inspections and conducting regulatory training

• Ensure record keeping of legal and regulatory-required documents

• Provide other assistance as may be required day-to-day in supporting the compliance and legal activities of Blackstone Japan

• Maintain a company chop

Qualifications:

The ideal candidate would possess:

• 5+ years of relevant experience, preferably in a control function in the financial industry with basic knowledge of or appetite to learn the FIEA and the rules of self-regulatory organizations

• Experience working in a global firm or corporation

• Native Japanese language with written and spoken English language skills

• Excellent organizational and execution skills

• Independent self-starter and team player with strong work ethic and drive to quickly learn in a new environment

The duties and responsibilities described here are not exhaustive and additional assignments, duties, or responsibilities may be required of this position. Assignments, duties, and responsibilities may be changed at any time, with or without notice, by Blackstone in its sole discretion.

Blackstone is committed to providing equal employment opportunities to all employees and applicants for employment without regard to race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other class or status in accordance with applicable federal, state and local laws. This policy applies to all terms and conditions of employment, including but not limited to hiring, placement, promotion, termination, transfer, leave of absence, compensation, and training. All Blackstone employees, including but not limited to recruiting personnel and hiring managers, are required to abide by this policy.

If you need a reasonable accommodation to complete your application, please contact Human Resources at 212-583-5000 (US), +44 (0)20 7451 4000 (EMEA) or +852 3656 8600 (APAC).

Depending on the position, you may be required to obtain certain securities licenses if you are in a client facing role and/or if you are engaged in the following:

• Attending client meetings where you are discussing Blackstone products and/or and client questions;

• Marketing Blackstone funds to new or existing clients;

• Supervising or training securities licensed employees;

• Structuring or creating Blackstone funds/products; and

• Advising on marketing plans prepared by a sales team or developing and/or contributing information for marketing materials.

Note: The above list is not the exhaustive list of activities requiring securities licenses and there may be roles that require review on a case-by-case basis. Please speak with your Blackstone Recruiting contact with any questions.
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