Broker/Dealer Compliance, Associate

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. 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. Work Schedule This role is in office Monday to Thursday. Responsibilities 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. This role reports to the Head of the Business Conduct Group. Key Contributions 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 Qualifications 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 Equal Opportunity Employer Statement 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. #J-18808-Ljbffr Blue Owl Capital