Blue Owl Capital
Broker/Dealer Compliance, Associate
Short Hills, NJ, USA
Sponsorship not specifiedDetected 68 days ago
ComplianceLogistics
About the role
- Blue Owl Capital is seeking a compliance professional to join the team responsible for managing the Compliance program for the firm's broker-dealer affiliate, Blue Owl Securities LLC.
- Title will be commensurate with experience.
Responsibilities
- Support the broker-dealer's Rule 3120 testing program
- Maintain the branch inspection calendar
- Assist in developing and delivering employee training
- Support additional aspects of broker-dealer compliance, as needed
- This role will sit within Blue Owl's broader Compliance department and support oversight of the firm's limited-purpose broker-dealer.
Requirements
- Minimum of 2 years of relevant experience in broker-dealer compliance within a FINRA-regulated environment, preferably at an institutional firm
- Strong understanding of securities laws, rules, and regulations applicable to FINRA members
- Ability to work both independently and collaboratively in a team environment
- Series 7 and Series 24 licenses required
Compensation
- The primary responsibility of this position is to implement policies and procedures related to the broker-dealer and support the annual cycle of reports and filings required to maintain compliance with FINRA requirements.
- Coordinate continuing education requirements and Annual Compliance Meeting logistics
Benefits
- Together with over 1,390 experienced professionals globally, Blue Owl brings the vision and discipline to create the exceptional.
Apply directly at Blue Owl Capital →Create a free account for alerts like thisView Blue Owl Capital immigration profile
This listing is sourced directly from Blue Owl Capital's careers page and normalized into a canonical job model.