Blue Owl Capital

Blue Owl Capital

Broker/Dealer Compliance, Associate

Short Hills, NJ

Sponsorship not specified$100k-$115kDetected 6 hours 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

  • All such benefits are subject to the terms/conditions of the Company's benefits plans and policies.
  • Together with over 1,390 experienced professionals globally, Blue Owl brings the vision and discipline to create the exceptional.
  • Coordinate continuing education requirements and Annual Compliance Meeting logistics

Equal opportunity

  • Equal Opportunity 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.
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.