Associate, Compliance - Los Angeles, United States - Knewin

Description

Oaktree is a leader among global investment managers specializing in alternative investments, with $189 billion in assets under management as of December 31, 2023. 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 22 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

Scope and responsibilities

Based in downtown Los Angeles, the Associate will assist in compliance monitoring to ensure accounts are invested in accordance with client guidelines, internal policies and procedures and regulatory law.

Responsibilities include:

• Performing daily trade reviews and analysis
• Liaising with Investment Professionals on trading and portfolio related matters on a real time basis
• Conducting reviews to ensure securities data accuracy
• Preparing and communicating client compliance reporting and inquiries
• Assisting and reviewing portfolio compliance surveillance reports
• Reviewing automated compliance rules in the trade processing system (Allvue)
• Participating in ad-hoc global investment compliance projects

Experience required:

• 2-4 years of compliance experience, within the financial services, Insurance or Big 4 industries
• General knowledge of Fixed Income assets and products, derivative instruments, and securities markets
• Proven ability to manage tasks with competing priorities and deadlines
• Proficiency in Microsoft Office products including Excel, Word, Outlook

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
• Team-oriented and possesses strong integrity and professionalism

Education

Bachelors degree is required with Accounting, Finance or Economics majors preferred

Base Salary Range

$85,000 - $105,000

In addition to a competitive base salary, you will be eligible to receive discretionary bonus incentives, acomprehensive 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.