Senior Associate or Associate Compliance

Our Company

Oaktree is a leader among global investment managers specializing in alternative investments, with more than $220 billion in assets under management. The firm emphasizes an opportunistic, value-oriented, and risk-controlled approach to investments in credit, equity, and real estate. The firm has more than 1,400 employees and offices in more than 25 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 Oaktree’s website at http://www.oaktreecapital.com/

Based in downtown Los Angeles or midtown New York City, as a generalist within the US Regulatory, Compliance Testing & BDC Compliance, the Associate/Senior Associate will assist the execution of key areas of the firm’s compliance program under the Investment Advisers Act of 1940, as well as the compliance program for its regulated funds under the Investment Company Act of 1940. Reporting to a Senior Vice President of Compliance, the role focuses on execution, monitoring, and documentation across regulatory filings, compliance testing, global data privacy initiatives, as well as compliance with the Co-Investment Exemptive Relief.

Responsibilities

• Support in the administration of the firm’s BDC compliance program
• Assist in the preparation and maintenance of regulatory filings, including Form ADV and related disclosures
• Execute compliance testing and monitoring activities in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940
• Provide support for compliance obligations under the Investment Company Act of 1940, including maintaining and updating compliance documentation, policies, and procedures
• Assist with compliance with Oaktree’s registered funds’ Co-Investment Exemptive Relief Order, including but not limited to, tracking and documenting trade allocations and approvals, as well as preparing materials for board reporting
• Support the firm’s global data privacy program, including data collection, documentation, and process tracking
• Assist with internal audits, regulatory exams, and information requests
• Preparing materials for the quarterly BDC Board of Directors meetings
• Assisting in ad hoc projects associated with US Regulatory Compliance as needed.

Qualifications

For the Senior Associate role:

• 3–5 years of compliance experience within an investment adviser, asset manager, or financial services firm, with a focus on BDC compliance, compliance testing, regulatory filings, and/or general compliance program support
• General knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940
• Proficient in Microsoft Office applications, including Word, Excel, PowerPoint and Outlook

For the Associate role:

• 1–3 years of compliance experience within an investment adviser, asset manager, or financial services firm, with a focus on BDC compliance, compliance testing, regulatory filings, and/or general compliance program support
• General knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940
• Proficient in Microsoft Office applications, including Word, Excel, PowerPoint and Outlook

Personal Attributes

• Outstanding initiative, motivation and detail orientation with strong work ethic and excellent organizational skills
• Ability to work well under pressure and with time constraints
• Proven ability to manage tasks with competing priorities and deadlines
• Responsible individual with a strong sense of integrity and dedication
• Demonstrates strong interpersonal skills and the ability to quickly build credibility and gain confidence of individuals at all levels
• Team-oriented and able to partner with colleagues to achieve shared goals

Education

A Bachelor's degree is required.

Base Salary Range for Associate:

$95,000 - $130,000

Base Salary Range for the Senior Associate:

$125,000 - $150,000

In addition to a competitive base salary, you will be eligible to receive discretionary bonus incentives, a comprehensive benefits package and a flexible work arrangement.  The base salary offered will be commensurate with experience and/or qualifications, industry knowledge and expertise, as well as prior training and education.

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.