Broker/Dealer Compliance, Associate

Blue Owl Capital Holdings • Short Hills, NJ

1d • Onsite

About The Position

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. This role will sit within Blue Owl’s broader Compliance department and support oversight of the firm’s limited-purpose broker-dealer. Title will be commensurate with experience.

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.
• Highly detail-oriented with strong organizational and prioritization skills.
• Ability to work both independently and collaboratively in a team environment.
• Series 7 and Series 24 licenses required.

Responsibilities

• Implement policies and procedures related to the broker-dealer.
• Support the annual cycle of reports and filings required to maintain compliance with FINRA requirements.
• Coordinate FINRA filings and registered representative onboarding, including Forms U4, U5, BR, and BD.
• Support the broker-dealer’s Rule 3120 testing program.
• Coordinate continuing education requirements and Annual Compliance Meeting logistics.
• Maintain the branch inspection calendar.
• Assist in developing and delivering employee training.
• Support additional aspects of broker-dealer compliance, as needed.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed