Senior Associate or Associate Compliance

Oaktree Capital Management•Los Angeles, NY

1d•Onsite

About The Position

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. Oaktree is 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 local communities through philanthropic initiatives. Based in downtown Los Angeles or midtown New York City, the Associate/Senior Associate will serve as a generalist within the US Regulatory, Compliance Testing & BDC Compliance team. This role will assist in 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, and compliance with the Co-Investment Exemptive Relief.

Requirements

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
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
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
A Bachelor's degree is required.

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.