Business Conduct Compliance, Senior Associate

Blue Owl Capital•Short Hills, NJ

1d•$150,000 - $160,000•Hybrid

About The Position

Blue Owl is seeking an experienced professional to join its Compliance team. This 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.

Requirements

3 to 5 years relevant securities compliance experience
Understanding of securities laws, rules, and regulations applicable to registered investment advisers and broker dealers
Detail oriented with the ability to assess and prioritize projects
Ability to work flexibly on a team
Current securities licenses (SIE, 7TO) required. Series 24 preferred or candidate will be required to sit for the Series 24 within 3 months of hire

Nice To Haves

Experience using ComplySci system preferred but not required

Responsibilities

Reviewing, testing and recordkeeping regarding employee adherence to firm policies in such areas as entertainment, educational events and political contributions
Vetting potential hires’ background checks and other fitness-for-hire parameters
Participate in oversight of all aspects of employee personal account dealing, such as preclearance requirements, violation investigations, and trading-window issues
Contribute to new-employee and ongoing trainings covering all aspects of compliance
Provide support for internal compliance reviews
Contribute to oversight of electronic communications activity
General compliance tasks as needed, including working with or backing up compliance team members that specialize in other functional areas.