Business Conduct Compliance, Senior Associate

Responsibilities

• Review, test and keep records regarding employee adherence to firm policies in areas such 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.
• Perform general compliance tasks as needed, including working with or backing up compliance team members that specialize in other functional areas.

• 3 to 5 years of 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 the candidate will be required to sit for the Series 24 within 3 months of hire.
• Experience using Comply Sci system preferred but not required.

The base annual salary range for this New Jersey-based position will be $150,000 to $160,000. 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.

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.