Job Description

Compliance Professional

Blue Owl Capital is seeking an experienced compliance professional to join the growing team that manages the Compliance program for the firm's broker/dealer affiliate. This newly created and varied role will be part of the Business Conduct Group inside Blue Owl's Compliance department, which manages adherence to the firm's Code of ethics and executes the compliance structure of the firm's limited purpose broker-dealer. Job title will depend on experience.

Responsibilities:

The primary function of this position is to implement policies and procedures associated with the broker dealer and contribute to the annual cycle of reports and filings required to remain in compliance with FINRA requirements. The role reports to the head of the Business Conduct Group. The successful candidate will be able to contribute immediately in the following areas:

• Coordinate FINRA filings and registered representative onboarding, including U4s, U5s, Form BR, Form BD
• Contribute to the B/D's 3120 testing effort
• Coordinate continuing education and Annual Compliance Meeting logistics
• Maintain branch inspection calendar
• Contribute to employee trainings
• Manage other components of B/D compliance

Qualifications:

• At least 5 years relevant experience in FINRA broker/dealer compliance, preferably with an institutional firm.
• Understanding of securities laws, rules, and regulations applicable to FINRA members
• Detail oriented with the ability to assess and prioritize projects
• Ability to work flexibly on a team
• Current securities licenses (SIE, 7TO) required. S24 required within 90 days

Blue Owl is proud to be an 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.

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