Associate, Compliance

Oaktree is a leader among global investment managers specializing in alternative investments, with $205 billion in assets under management as of 30 September 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 1200 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.

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Scope and responsibilities

Based in London, the this generalist compliance role will assist in the day-to-day management of responsibilities associated with Oaktree’s UK regulated entities. Responsibilities will include assisting the Oaktree UK Compliance team in overseeing the Regulatory, Code of Ethics, Investment Compliance and Control Rooms functions for Oaktree in EMEA, working alongside and in conjunction with the global Compliance team.

Responsibilities include:
- Assisting in the management of Oaktree’s Code of Ethics policies and the Supplemental Oaktree UK Compliance Manual for EMEA based staff, including:
- Assisting with the collection of Code certifications the subsequent review of reports generated-
- Escalating potential exceptions and assisting in the issuance of Code of Ethics violations-
- Providing regional based guidance and monitoring conflicts related to personal account trading, outside business activity, political activity, and the provision/receipt of gifts and entertainment;- Assisting with personal transaction reporting and maintenance of PA Dealing records for all EMEA staff.- Making additions and deletions to the Oaktree restricted list,- Working closely with investment teams as well as other control groups such as Legal to manage the conflict check process for EMEA and ensure any potential issues or confidentially issues identified during the review process are addressed and resolved timely- Providing advisory services to the EMEA investment teams including traders and Portfolio Managers regarding investment compliance including guideline restrictions;- Performing reviews and alerts in the order management system- Participating in ad-hoc regional and global compliance projects, as need or interest arises.

Experience required- 4-6 years of compliance experience, preferably within the financial services industry and with exposure to investment management;- General knowledge of FCA regulatory framework and understanding of Material Non-Public Information (“MNPI”)- General knowledge of securities, derivative instruments, and securities markets;- Proven ability to manage tasks with competing priorities and deadlines; and- Proficiency in Microsoft Office products including Excel, Word, Outlook.

Personal attributes- Outstanding initiative, motivation and detail orientation with strong work ethic and organizational skills;- Ability to work well under pressure and with time constraints - with proven ability to multi-task and prioritize appropriately;- Responsible individual with a strong sense of integrity, dedication and professionalism- Excellent interpersonal, written, and verbal communication skills- Possess problem solving and research capabilities; and- Team-oriented, able to partner with colleagues to achieve share goals.

Education

University graduate

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.

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