Talent.com
Assistant Vice President, Investment Compliance

Assistant Vice President, Investment Compliance

Oaktree Capital ManagementLos Angeles, CA, US
30+ days ago
Job type
  • Full-time
Job description

Assistant Vice President / Senior Associate - Investment Compliance

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.

The Investment Compliance team is one of the functional areas within the Compliance department. The team is responsible for all aspects of investment compliance including account onboarding, trade and transaction review, daily portfolio monitoring and client reporting. The team partners closely with portfolio managers, traders and investment teams as well as, Legal, Trade Support and Client Relations ensuring that Oaktree remains compliant with client, firmwide and regulatory requirements.

Scope and responsibilities :

Based in Los Angeles or New York City, the Assistant Vice President / Senior Associate will monitor client portfolios to ensure they are invested in accordance with investment guidelines, internal policies and regulatory law. This position will also assist with the best execution program and reporting obligations for regulated funds (i.e., 40 act, interval funds, UCITS).

Responsibilities include :

  • Liaising with Investment Professionals on trading and portfolio related matters on a real time basis
  • Performing daily trade reviews and analysis (including pre- and post-trade reviews)
  • Assisting with the onboarding and monitoring of client accounts
  • Preparing compliance reporting and responding to client inquiries
  • Supporting the reconciliation of client provided restricted lists against Oaktree's security master, holdings, and order management system
  • Reviewing best execution procedures and tracking related metrics
  • Participating in ad-hoc global investment compliance projects

Experience required :

  • For Senior Associate 3 -5 years of compliance experience, preferably within the financial services industry
  • For Assistant Vice President P 5-7 years of compliance experience, preferably within the financial services industry
  • General knowledge of securities, derivative instruments, and securities markets
  • Proven ability to manage tasks with competing priorities and deadlines
  • Proficiency in Microsoft Office products including Excel, Word, Outlook
  • Familiarity with order management systems and Bloomberg is a plus
  • 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; and
  • Team-oriented and possesses strong integrity and professionalism
  • Highly collaborative with an ability to interact professionally with individuals at all levels
  • Education :

    Bachelor's Degree Required

    Base Salary Range :

    Senior Associate : $130,000 - $160,000

    Assistant Vice President $155,000 - $190,000

    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.

    Create a job alert for this search

    Assistant Vice President • Los Angeles, CA, US

    Related jobs
    • Promoted
    AVP / VP, Portfolio Manager

    AVP / VP, Portfolio Manager

    Cathay Bank - HeadquartersEl Monte, CA, United States
    Full-time
    Are you enthusiastic, highly motivated, and have a strong work ethic? If yes, come join our team! At Cathay Bank - we strive to provide a caring culture that supports your aspirations and success....Show moreLast updated: 30+ days ago
    • Promoted
    Vice President of Cybersecurity

    Vice President of Cybersecurity

    VirtualVocationsVan Nuys, California, United States
    Full-time
    A company is looking for a Vice President of Cybersecurity to lead the development and execution of an enterprise-wide cybersecurity strategy. Key Responsibilities Develop and implement a comprehe...Show moreLast updated: 30+ days ago
    • Promoted
    Vice President, Compliance Officer

    Vice President, Compliance Officer

    PIMCONewport Coast, CA, US
    Full-time
    PIMCO is a global leader in active fixed income with deep expertise across public and private markets.We invest our clients' capital across a range of fixed income and credit opportunities, leverag...Show moreLast updated: 30+ days ago
    • Promoted
    Vice President, Compliance Officer - Anti-Financial Crime

    Vice President, Compliance Officer - Anti-Financial Crime

    PIMCO Ltd. - Pacific Investment Management CompanyNewport Beach, CA, United States
    Full-time
    PIMCO is a global leader in active fixed income with deep expertise across public and private markets.We invest our clients' capital across a range of fixed income and credit opportunities, leverag...Show moreLast updated: 30+ days ago
    • Promoted
    Compliance Lead

    Compliance Lead

    Capital GroupLos Angeles, CA, United States
    Full-time
    I can succeed as a Compliance Lead at Capital Group.We are recruiting for a Compliance Lead for our Client Services Compliance Team that provides compliance support for several of Capital Group's i...Show moreLast updated: 30+ days ago
    • Promoted
    Vice President, Risk Reporting & Analytics Liquid Credit Performance

    Vice President, Risk Reporting & Analytics Liquid Credit Performance

    Oaktree Capital ManagementLos Angeles, CA, US
    Full-time
    Vice President Of Risk, Reporting & Analytics (RR&A).Oaktree is a leader among global investment managers specializing in alternative investments, with about $200 billion in assets under management...Show moreLast updated: 30+ days ago
    • Promoted
    Associate Vice President, Trade Surveillance Compliance

    Associate Vice President, Trade Surveillance Compliance

    Ares ManagementLos Angeles, CA, US
    Full-time
    Information Management And Trade Surveillance Compliance Vice President.Over the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core val...Show moreLast updated: 30+ days ago
    • Promoted
    Associate, Investment Guideline Alternatives

    Associate, Investment Guideline Alternatives

    PIMCONewport Coast, CA, US
    Full-time
    Legal & Compliance Investment Guidelines Manager.PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range ...Show moreLast updated: 15 days ago
    • Promoted
    Vice President - Credit Underwriting and Portfolio Management - Entertainment Finance

    Vice President - Credit Underwriting and Portfolio Management - Entertainment Finance

    MUFGLos Angeles, CA, US
    Full-time
    Join Mitsubishi UFJ Financial Group.Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financia...Show moreLast updated: 30+ days ago
    • Promoted
    Assistant Vice President - Data & Compliance

    Assistant Vice President - Data & Compliance

    St. Joseph CenterVenice, CA, US
    Full-time
    Assistant Vice President - Data & Compliance.Joseph Center, a leading nonprofit in Los Angeles' homelessness response system, seeks an Assistant Vice President of Data and Compliance to drive our m...Show moreLast updated: 30+ days ago
    • Promoted
    Assistant Vice President, Transformation / Project Management

    Assistant Vice President, Transformation / Project Management

    Oaktree Capital ManagementLos Angeles, CA, US
    Full-time
    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...Show moreLast updated: 30+ days ago
    • Promoted
    Investment Banking Vice President

    Investment Banking Vice President

    Selby JenningsLos Angeles, CA, United States
    Full-time
    Title : Investment Banking Vice President.We are currently partnered with a highly reputable middle-market Investment Bank that is looking to add a Vice President to their Franchise and Restaurant t...Show moreLast updated: 1 day ago
    • Promoted
    Vice President, Private Strategies

    Vice President, Private Strategies

    PIMCONewport Coast, CA, US
    Full-time
    Vice President, Opportunistic Credit Team.PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixe...Show moreLast updated: 30+ days ago
    • Promoted
    Vice President, Investment Risk & Portfolio Construction

    Vice President, Investment Risk & Portfolio Construction

    Oaktree Capital ManagementLos Angeles, CA, US
    Full-time
    Vice President, Risk, Reporting & Analytics.Oaktree is a leader among global investment managers specializing in alternative investments, with about $200 billion in assets under management.The firm...Show moreLast updated: 30+ days ago
    • Promoted
    Senior Associate / Assistant Vice President, Product Specialist Group

    Senior Associate / Assistant Vice President, Product Specialist Group

    Oaktree Capital ManagementLos Angeles, CA, US
    Full-time
    Oaktree is a leader among global investment managers specializing in alternative investments, with $203 billion in assets under management as of March 31, 2025. The firm emphasizes an opportunistic,...Show moreLast updated: 30+ days ago
    • Promoted
    Assistant Vice President, Facilities Operations and Capital Planning

    Assistant Vice President, Facilities Operations and Capital Planning

    The J. Paul Getty TrustLos Angeles, CA, United States
    Full-time
    Assistant Vice President, Facilities Operations and Capital Planning.Commensurate with experience and internal equity.Facilities - 1400-Director of Facilities. Getty is committed to creating a welco...Show moreLast updated: 30+ days ago
    • Promoted
    Vice President, Compliance Officer - Anti-Financial Crime

    Vice President, Compliance Officer - Anti-Financial Crime

    LGBT GreatNewport Beach, CA, United States
    Full-time
    Vice President, Compliance Officer - Anti-Financial Crime.Newport Beach, California, United States Full-time Posted 22 days ago. PIMCO is a global leader in active fixed income with deep expertise a...Show moreLast updated: 30+ days ago
    • Promoted
    Investment Banking Vice President (Los Angeles)

    Investment Banking Vice President (Los Angeles)

    Selby JenningsLos Angeles, CA, US
    Part-time
    Title : Investment Banking Vice President.We are currently partnered with a highly reputable middle-market Investment Bank that is looking to add a Vice President to their Franchise and Restaurant t...Show moreLast updated: 1 day ago
    • Promoted
    Vice President - Asset Management

    Vice President - Asset Management

    Bridge HomesNewport Beach, CA, United States
    Full-time
    Vice President - Asset Management page is loaded## Vice President - Asset Managementlocations : Newport Beach, Californiatime type : Full timeposted on : Posted 3 Days Agojob requisition id : J...Show moreLast updated: 30+ days ago
    • Promoted
    Assistant Vice President, Corporate Underwriting

    Assistant Vice President, Corporate Underwriting

    ZenithOrange, CA, US
    Full-time
    Assistant Vice President, Corporate Underwriting.This role is eligible to participate in Zenith's hybrid work schedule which provides the flexibility to work from home on select days of the week ac...Show moreLast updated: 29 days ago