Principal, 1940 Act Compliance & Governance

Blue Owl Capital Holdings LLC; New York (NY); Presencial; USD 215.000 - 225.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health, Dental and Vision insurance

401(k)

Descripción de la vacante

Blue Owl Capital Holdings LLC is seeking an experienced Principal for Regulatory Compliance. This role focuses on managing 1940 Act compliance for BDCs, registered funds, and related products, while governing boards and audit committees and coordinating governance deliverables across the public company and fund platforms.

The ideal candidate will lead complex projects, collaborate with Legal and Finance, and drive cross-functional initiatives including ESG, AI governance, and data privacy.

Formación

• Bachelor’s degree or higher.
• 10+ years of work experience in investment management, financial services, or industry-related compliance, with deep expertise in the 1940 Act.
• Experience in private markets, alternative investments, real assets, and/or private funds; prior experience supporting BDC, registered closed-end fund, or public company boards a plus.
• Excellent organizational, oral and written communication skills, including the ability to effectively present to senior leadership.
• Leverage AI as a tool to drive efficiency.
• Ability to develop and foster strong interpersonal relationships and to maintain effective cross-functional business relationships throughout the firm.

Responsabilidades

• Lead key components of the firm’s 1940 Act compliance framework for BDCs, registered closed-end funds, and other registered investment products.
• Manage D&O compliance matters for both the corporate Board and registered fund Boards, including director questionnaires, related party transaction monitoring and disclosure, and Section 16 reporting requirements.
• Coordinate Board and Audit Committee governance processes, including preparation and review of materials and follow-up on key matters.
• Monitor regulatory developments and SEC guidance affecting registered investment products and advise stakeholders on compliance implications and required policy updates.
• Assist in development and enhancement of the compliance program for 1940 Act registered products, including providing support for new product development, fund launches, and implementation of new regulations.
• Own the compliance framework for fee and expense governance, including allocation methodologies, monitoring, disclosures, and ongoing oversight in coordination with Finance, Legal, and the business.
• Support cross-functional compliance initiatives, including ESG, cybersecurity, AI governance, and data privacy.
• Drive strategic and ad hoc compliance initiatives, mentor junior team members, and serve as a trusted advisor to Compliance leadership and the broader firm.

Conocimientos

Detail-oriented

Communication skills

Cross-functional collaboration

AI governance

Educación

Bachelor’s degree or higher

Descripción del empleo

Blue Owl Capital Holdings LLC is seeking an experienced Principal for Regulatory Compliance. This role focuses on managing 1940 Act compliance for BDCs, registered funds, and related products, while governing boards and audit committees and coordinating governance deliverables across the public company and fund platforms.

The ideal candidate will lead complex projects, collaborate with Legal and Finance, and drive cross-functional initiatives including ESG, AI governance, and data privacy.