The Role:

Blue Owl Capital is seeking an experienced compliance professional to join the team as Managing Director, overseeing Broker-Dealer, Global Marketing and Distribution; reporting into the Head of DistributionCompliance/CCO of Blue Owl’s limited purpose broker dealer. This role will have two direct reports and oversee a team of approximately ten individuals.

The successful candidate will be the senior compliance leader responsible for overseeing all regulatory compliance activities related to product distribution, marketing, sales practices, and intermediary oversight across North America and Latin America. The role will operate as a strategic partner to the Americas distribution business, providing proactive guidance on regulatory expectations, emerging risks, and best practices across multiple jurisdictions. In addition, this role will oversee the firm’s global marketing compliance function, including governance of marketing review processes and standards.

Responsibilities:

Broker-Dealer

This role will oversee Blue Owl’s broker-dealer compliance team which is responsible for policies and procedures, filings, training, compliance testing, strategic initiatives and other related requirements.

Distribution Activities

The role will oversee the distribution activities within North America and Latin America.  This will include maintaining a compliance program covering Blue Owl’s offices and activities in Canada and Brazil, overseeing Blue Owl’s lobbyist registration requirements within the US, fund registrations for our non-regulated funds and supporting these efforts with respect to Blue Owl’s regulated fund, and providing compliance support for private launches for Blue Owl’s credit platform.

Global Marketing Review

This role will oversee Blue Owl’s compliance marketing review team which is responsible for reviewing and approving marketing materials, digital content, presentations, and RFPs; ensuring compliance with the SEC Marketing Rule and FINRA communications standards; and partnering with the heads of EMEA and APAC compliance to ensure compliance with local jurisdictional requirements and to maintain consistent messaging and documentation standards.

Qualifications:

• 12 to15 years relevant experience in FINRA broker-dealer compliance, preferably with an institutional firm, as well as marketing and distribution compliance support for institutional and private wealth (retail) channels.

• Very strong understanding of securities laws, rules, and regulations applicable to FINRA members and SEC registered investment advisors.

• Detail oriented with the ability to assess and prioritize projects.

• Ability to manage and develop a dynamic team across complex responsibilities and rapid firm growth.  

• FINRA Series 24 required
  The base annual salary range for this New Jersey based position will be $250,000 to $275,000. 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.