Associate, Compliance

As a member of our global investment management firm Oaktree, you will be part of a team that specializes in alternative investments, managing approximately $200 billion in assets. Our firm's core principles revolve around an opportunistic, value-driven, and risk-controlled approach to investments across various sectors including credit, private equity, real assets, and equities. With over 1200 employees and offices in 24 cities worldwide, we are dedicated to delivering superior investment results while maintaining a high level of integrity. Our investment philosophy is guided by six fundamental tenets: risk control, consistency, market inefficiency, specialization, de-emphasis of macro-forecasting, and disavowal of market timing. These principles form the cornerstone of our opportunistic and value-oriented strategy. As long-term investors, we place significant emphasis on sustainability considerations throughout the investment lifecycle to mitigate risks and identify attractive opportunities effectively. At Oaktree, we are committed to fostering a collaborative, inclusive, and diverse work environment. We prioritize providing training, career development opportunities, and supporting our local communities through philanthropic initiatives. Our culture values curiosity, collaboration, and excellence in bottom-up investment analysis. As an Associate/Senior Associate/AVP based in Hyderabad, you will play a crucial role in the Enterprise Compliance team, overseeing various functions including Code of Ethics, US Broker-Dealer, AML, Lobbying, and Training for Oaktree. Your responsibilities will include: - Serving as a Compliance Generalist within the Enterprise Compliance Team. - Assisting in managing Oaktree's Code of Ethics policies. - Providing guidance and monitoring conflicts related to personal account trading, outside business activities, political activities, and gifts and entertainment. - Supporting the day-to-day management of Oaktree's broker-dealer activities. - Conducting anti-money laundering checks for potential investors. - Handling miscellaneous tasks and responsibilities as required. To qualify for this role, you should have: - 3-8 years of compliance and/or paralegal experience in the financial services industry. - A general understanding of SEC and anti-money laundering regulatory frameworks, as well as Material Non-Public Information (MNPI). - Proven ability to manage tasks efficiently under competing priorities and deadlines. - Proficiency in Microsoft Office applications such as Word, Excel, and Outlook. We are seeking individuals with the following personal attributes: - Strong initiative, motivation, and attention to detail with a solid work ethic and exceptional organizational skills. - Ability to thrive under pressure and meet tight deadlines. - High integrity, dedication, and responsible conduct. - Excellent interpersonal skills to build credibility and rapport with individuals at all levels. - Team-oriented mindset and collaboration skills to achieve common objectives. A Bachelor's Degree is required for this position. Oaktree is an equal opportunity employer. If you are applying for a position in Los Angeles, we will consider applicants with a criminal history in compliance with relevant federal, state, and local laws. For more information, including our sustainability initiatives, please visit our Responsibility site.,