Senior Associate or Associate Compliance at Oaktree… · New York

Summary: Oaktree Capital Management, L.P. is a leader among global investment managers specializing in alternative investments. The Associate/Senior Associate will assist in executing key areas of the firm’s compliance program, focusing on regulatory filings, compliance testing, and global data privacy initiatives. 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 Required Qualifications: - 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 - A Bachelor's degree is required - 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 Preferred Qualifications: - 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 Required Skills: Compliance, BDC compliance, Compliance testing, Regulatory filings, Investment Company Act of 1940, Investment Advisers Act of 1940, Microsoft Office, Data privacy, Task management Benefits: Discretionary bonus incentives, Comprehensive benefits package, Flexible work arrangement