What are the responsibilities and job description for the Broker Dealer Compliance, VP / Senior Associate position at Blue Owl Capital?
Blue Owl (NYSE: OWL) is a leading asset manager that is redefining alternatives®.
With over $250 billion in assets under management as of December 31, 2024, we invest across three multi-strategy platforms: Credit, GP Strategic Capital, and Real Assets. Anchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation.
Together with over 1,100 experienced professionals globally, Blue Owl brings the vision and discipline to create the exceptional. To learn more, visit www.blueowl.com.
The Role
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:
With over $250 billion in assets under management as of December 31, 2024, we invest across three multi-strategy platforms: Credit, GP Strategic Capital, and Real Assets. Anchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation.
Together with over 1,100 experienced professionals globally, Blue Owl brings the vision and discipline to create the exceptional. To learn more, visit www.blueowl.com.
The Role
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
- 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
