Hiring: Associate, Regulatory Engagement and Broker-Dealer Compliance Company: BlackRock Location: Wilmington, DE Job Posted Time: 2026-09-10 11:41:32 Employment Type: Hybrid Target Skills & Keywords : AI, Regulatory Compliance, Risk Management, Series 24, Series 7 About the job Experience: •Solutions-oriented approach with strong organizational, project-management, analytical, problem-solving, and interpersonal skills. •Demonstrated capacity to collaborate effectively, manage multiple priorities, produce accurate work with integrity and attention to detail, and handle sensitive information with appropriate confidentiality. •Demonstrated capacity 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. Required Skills: •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. •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. Qualifications: •Actively facilitate and support maintenance and implementation of broker-dealer policies, procedures, training materials, and certifications, and provide timely regulatory guidance concerning business activities and new proposals. •Bachelor’s degree and foundational experience or demonstrated capability in regulatory compliance, legal, or regulatory work. Compensation: •Flexible work environment (work from home / hybrid options) Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!