Assistant Vice President, Investment Compliance

Our company

Oaktree is a leader among global investment managers specializing in alternative investments, with about $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 1200 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.

The Investment Compliance team is one of the functional areas within the Compliance department. The team is responsible for all aspects of investment compliance including account onboarding, trade and transaction review, daily portfolio monitoring and client reporting. The team partners closely with portfolio managers, traders and investment teams as well as, Legal, Trade Support and Client Relations ensuring that Oaktree remains compliant with client, firmwide and regulatory requirements.

Scope and responsibilities

Based in Los Angeles or New York City, the Assistant Vice President / Senior Associate will monitor client portfolios to ensure they are invested in accordance with investment guidelines, internal policies and regulatory law. This position will also assist with the best execution program and reporting obligations for regulated funds (i.e., 40 act, interval funds, UCITS).

Responsibilities include:

• Liaising with Investment Professionals on trading and portfolio related matters on a real time basis
• Performing daily trade reviews and analysis (including pre- and post-trade reviews)
• Assisting with the onboarding and monitoring of client accounts
• Preparing compliance reporting and responding to client inquiries
• Supporting the reconciliation of client provided restricted lists against Oaktree’s security master, holdings, and order management system
• Reviewing best execution procedures and tracking related metrics
• Participating in ad-hoc global investment compliance projects

Experience required

• For Senior Associate 3 -5 years of compliance experience, preferably within the financial services industry
• For Assistant Vice President P 5-7 years of compliance experience, preferably within the financial services industry
• 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
• Familiarity with order management systems and Bloomberg is a plus

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
• Highly collaborative with an ability to interact professionally with individuals at all levels

Education

Bachelor’s Degree Required

Base Salary Range

Senior Associate: $130,000 - $160,000

Assistant Vice President $155,000 - $190,000

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.