What are the responsibilities and job description for the Senior Vice President Compliance position at Oaktree Capital Management?

Oaktree is a leader among global investment managers specializing in alternative investments, with $205 billion in assets under management as of September 30, 2024. 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 1,200 employees and offices in 23 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

Based in downtown Los Angeles, the Senior Vice President, Closed-End Fund Compliance will work directly with portfolio companies and investment teams to mitigate compliance risk. This is an exciting opportunity for a highly skilled and motivated individual to build a new Compliance function from the ground up. The ideal candidate will possess extensive experience in interacting with portfolio managers and deal teams.

Responsibilities include :

Oversight of the firm’s anti- corruption program and AML programs as related to dealings of private funds, controlled investments and portfolio companies
Identifying opportunities to deliver consistent, thematic guidance and resources to Oaktree’s control investing strategies and portfolio companies
Establishing relationships with key stakeholders on the investment teams, their relevant business partners and service providers and supporting administrative functions, and leveraging those relationships to maintain and improve the consistency and effectiveness of the compliance function as it relates to Oaktree’s private funds
Analyzing new rules that may impact Oaktree private funds and assisting (or leading) the implementation of any controls or processes that are deemed necessary during scoping and assessment, alongside the compliance and legal departments
As a lead privacy coordinator, assisting the deal teams in ensuring compliance with the firm’s privacy program with respect to portfolio companies and other controlled investments

Qualifications

12 years of compliance experience within the financial services industry, preferably with a SEC-registered investment advisor;

Extensive knowledge of SEC regulatory framework and global AML / anti-corruption regimes;

Proven capability with analyzing complex data, evaluating information, identifying key issues and drawing logical conclusions

Track record in planning and project management and in maintaining composure under pressure, while meeting strict deadlines

Strong knowledge of private equity deal process

Personal Attributes

Outstanding initiative, motivation and detail orientation with strong work ethic and excellent organizational and communication skills;

Ability to work well under pressure, across time zones, and with time constraints;

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.

Base Salary Range

185,000 - $225,000

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.

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Salary : $185,000 - $225,000

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