Broker/Dealer Compliance, Associate

Blue Owl (NYSE: OWL) is a leading asset manager that is redefining alternatives®.

With over $315 billion in assets under management as of March 31, 2026, we invest across three multi-strategy platforms: Credit, Real Assets and GP Strategic Capital. 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 1,390 experienced professionals globally, Blue Owl brings the vision and discipline to create the exceptional. To learn more, visit www.blueowl.com

This role is in office Monday to Thursday.

The 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.

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.

The successful candidate will contribute to the following areas:

• 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

The base annual salary range for this New Jersey-based position will be $100,000 to $115,000. Actual salary offered will be based on the candidate’s skill, experience, and qualification for the role. Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance. 

Benefits for this role include Health, Dental and Vision insurance, 401(k), Healthcare and Dependent Care Flexible Spending Account, Short Term Disability insurance, Long Term Disability Insurance, Family Planning Support, Paid Time Off, and Leave of Absences. All such benefits are subject to the terms/conditions of the Company’s benefits plans and policies.