Associate, Compliance

2 days ago

Oaktree Hyderabad, India Oaktree Capital Management Full time ₹ 12,00,000 - ₹ 36,00,000 per year
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.

Our investment philosophy consists of six enduring tenets: risk control, consistency, market inefficiency, specialization, de-emphasis of macro-forecasting and disavowal of market timing. These tenets are central to our opportunistic and value-oriented approach.

Our mission is to deliver superior investment results with risk under control and to conduct business with the highest integrity. Sustainability considerations are a critical component of achieving this mission. As long-term investors, we recognize that accounting for sustainability considerations throughout the investment lifecycle can help us avoid undue risk and better identify attractive opportunities. These efforts are part of our long-standing commitment to excellence in bottom-up investment analysis

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 more information including Oaktree's approach to sustainability, please visit our Responsibility site.
Responsibilities
Based in Hyderabad, the Associate/Senior Associate/AVP will assist the Enterprise Compliance team in overseeing the Code of Ethics, US Broker-Dealer, AML, Lobbying, and Training functions for Oaktree.

Responsibilities include:

• A Compliance Generalist role in the Enterprise Compliance Team;

• Assisting in the management of Oaktree's Code of Ethics policies;

• Providing guidance and monitoring conflicts related to personal account trading, outside business activity, political activity, and gifts and entertainment;

• Assisting in the day-to-day management of responsibilities associated with Oaktree's broker-dealer;

• Performing anti-money laundering checks for potential investors;

• Miscellaneous tasks/responsibilities, as needed.

Qualifications

• 3-8 years of compliance and/or paralegal experience within the financial services industry;

• General knowledge of SEC and anti-money laundering regulatory frameworks and understanding of Material Non-Public Information ("MNPI")

• Proven ability to manage tasks with competing priorities and deadlines; and

• Proficient in Microsoft Office applications including, Word, Excel, 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; and

• Team-oriented and able to partner with colleagues to achieve shared goals.

Education
Bachelor's Degree required.

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.

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