Compliance Analyst

Oaktree is a leader among global investment managers specializing in alternative investments, with over $200 billion in assets under management. The firm emphasizes an opportunistic, value-oriented and risk-controlled approach to investments in credit, private equity, real assets and listed equities.  The firm has over 1400 employees and offices in 24 cities worldwide.

We are committed to cultivating an environment that is collaborative, curious, inclusive and honors diversity of thought. Providing training and career development opportunities and emphasizing strong support for our local communities through philanthropic initiatives are essential to our culture.

For additional information please visit our website at www.oaktreecapital.com.

Scope and Responsibilities

Based in Hyderabad, the Compliance Analyst will assist the global Compliance teams to enforce the code of ethics policies including the personal trading requirements by ensuring the employees adhere and meet the requirements of the policies.

Key Responsibilities:

• Review employee personal trade requests
• Help with the new hire onboarding requirements
• Review of Gifts and Entertainment and Outside business requests submitted by the employees
• Help the Global compliance teams with the quarterly and annual certifications to ensure the certifications are completed on time
• Reconcile employee account statements and transaction confirmations with the corresponding pre-clearance request on the Compliance trade monitoring systems
• Co-ordinate with brokers to set up employee account data feeds
• Assist employees in answering policy related questions.
• Develop and conduct compliance training programs for employees, including onboarding ethics sessions.
• Prepare managements reports for senior management
• Identify, assess, and report potential conflicts of interest related to personal trading, outside business activities (OBA), political contributions, gifts, and entertainment.

Experience Required

• General knowledge of securities, derivative instruments, and securities markets
• Proven ability to manage tasks with competing priorities and deadlines.
• Proficiency in Microsoft Office products including Excel, Word, Outlook
• Having technical skills of emerging technologies like MS teams flows, Power Automate, Power BI and excel macros to help automate current processes and help gain process efficiencies.

Personal Attributes

• Outstanding initiative and a strong work ethic
• Excellent interpersonal, written, and verbal communication skills
• Detail oriented with strong organizational skills.
• Ability to interpret written guidelines and legal documents and possess problem solving and research capabilities.
• Able to effectively prioritize, execute tasks, and thrive in a high-pressure fast-paced environment.
• Strong understanding and appreciation for technology solutions; and
• Team-oriented and possesses strong integrity and professionalism

Education

Bachelor’s degree in business, Finance, Law, or related fields (Master’s degree preferred).

Experience

2-4 years of experience in compliance, ethics monitoring, or with a financial institution.

Certifications (Preferred but not mandatory)

Certifications such as Certified Compliance and Ethics Professional (CCEP), NISM or related certification.

Equal Opportunity Employment Policy

Oaktree is committed to diversity and to equal opportunity employment. Oaktree does not make employment decisions on the basis of race, creed, color, ethnicity, national origin, citizenship, religion, sex, sexual orientation, gender identity, gender expression, age, past or present physical or mental disability, HIV status, medical condition as defined by state law (genetic characteristics or cancer), pregnancy, childbirth and related medical conditions, veteran status, military service, marital status, familial status, genetic information, domestic violence victim status or any other classification protected by applicable federal, state and local laws and ordinances. This policy applies to hiring, placement, internal promotions, training, opportunities for advancement, recruitment advertising, transfers, demotions, layoffs, terminations, recruitment advertising, rates of pay and other forms of compensation and all other terms, conditions and privileges of employment. This policy applies to all Oaktree applicants, employees, clients, and contractors. Staff members wishing to report violations or suspected violations of this policy should contact the head of their department or Human Resources.

For positions based in Los Angeles

For those applying for a position in the city of Los Angeles, the firm will consider for employment qualified applicants with a criminal history in a manner consistent with applicable federal, state and local law.