Associate, Compliance

Oaktree is a leader among global investment managers specializing in alternative investments, with over $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 1400 employees and offices in 24 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

Responsibilities

Based in Hyderabad, the Associate/Senior Associate will assist the Compliance Testing and Enterprise Compliance team. Within the Enterprise Compliance team, this position will support with overseeing the Code of Ethics, US Broker-Dealer, AML, Lobbying, and Training functions for Oaktree. Additionally, the Associate/Senior Associate/AVP will be an integral member of the Compliance Testing team, responsible for participating in all aspects of the firm’s compliance testing program. This position will focus on testing activities related to Closed-End Fund (CEF) compliance and other areas of the firm’s operations, ensuring that internal controls, policies, and procedures are effectively designed and operating in line with applicable regulatory requirements. The individual will collaborate closely with other Compliance team members and business partners, contributing to a disciplined, risk-based approach to testing that supports the firm’s overall compliance framework.

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;
• Participate in the planning, execution, and documentation of compliance testing reviews, with emphasis on Closed-End Fund Compliance activities and related regulatory obligations.
• Evaluate the design and operational effectiveness of compliance controls across business lines and functional areas.
• Contribute to the development of testing methodologies, risk assessments, and annual testing plans.
• Conduct detailed reviews of policies, procedures, and transactions to identify potential compliance gaps or control weaknesses.
• Prepare comprehensive workpapers and testing summaries to support findings and conclusions.
• Collaborate with team members and relevant stakeholders to track remediation efforts and confirm implementation of corrective actions.
• Assist in analyzing data and system outputs to identify trends, exceptions, or anomalies requiring further review.
• Stay informed of evolving regulatory developments that impact Closed-End Funds and other investment products.
• Support broader compliance initiatives and cross-team testing efforts as needed.

Qualifications

• Bachelor’s Degree required.
• 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;
• 5-7years of experience in compliance, audit, risk management, or a related control function within the asset management or financial services industry.
• Understanding of Closed-End Fund regulatory requirements (e.g., 1940 Act, SEC rules, or related investment company regulations) preferred.
• Strong analytical, research, and problem-solving skills with attention to detail.
• Excellent written and verbal communication abilities.
• Ability to work collaboratively within a team, managing multiple assignments and priorities.
• Proficiency in Microsoft Excel and data analysis tools; experience with compliance testing or audit software is a plus.

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.

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.