Senior Associate, Compliance

Our Company

Oaktree is a leader among global investment managers specializing in alternative investments, with $202 billion in assets under management as of December 31, 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.

For additional information please visit our website at www.oaktreecapital.com

Scope & Responsibility

The individual will primarily have responsibility for compliance matters relating to Oaktree’s entities and activities in the PRC.  The individual may also provide compliance coverage and backup support for Oaktree’s other Asian entities, businesses and activities, as required.

Responsibilities include:

• Handling compliance program for Oaktree Overseas Investment Fund Management (Shanghai) Co, Ltd and Oaktree Beijing Investment Management Co. Ltd, other Oaktree’s entities and activities in the PRC including but not limited to regulatory and staff compliance matters related to the QDLP, QFLP, and QFII programs

• Primary compliance responsibilities may include: reviewing marketing materials /media approvals, completing license/registration applications for PRC entities and individuals, preparing and submitting regular and ad hoc regulatory filings/notifications, undertaking distributor/partner due diligence and/or oversight, assessing suitability of investors, drafting policies, providing training, handling Code of Ethics staff matters in PRC, liaising with regulators, and handling regulatory inquiries and examinations; 

• Keeping abreast of changes in regulatory requirements in PRC and assessing the impact on Oaktree’s activities and obligations.

• Providing guidance internally on regulatory matters compliance policies, licensing, conflicts of interest, and other regulatory topics (e.g., anti-bribery considerations/ and FCPA overlay, AML and record retention);

• Working closely with members of the global Compliance, Legal, Client Relations, Marketing, Accounting, Tax and other departments, including on global projects extending to the region (e.g., privacy, cybersecurity) as necessary; and

• Coordinating and working with external advisers, including local counsel and compliance consultants.

Experience Required

• 3+ years compliance experience with a foreign asset management firm in PRC or a local law firm;

• Knowledge of PRC private investment fund regulatory regimes, including CSRC and AMAC rules and regulations regarding sales/marketing, licensing and regulatory reporting requirements is required;

• Experience in dealing with Chinese regulators is required and handling regulatory inspections is a plus;

• Exceptional English and Chinese reading, writing and speaking skills is mandatory; and

• Track record in planning and project management while maintaining composure under pressure, and meeting strict deadlines.

Personal Attributes

• Excellent interpersonal, verbal and written communication skills;

• Flexible and team-oriented with strong integrity and professionalism;

• Must be highly organized and detail oriented;

• Work effectively with a strong, diverse team of people with multiple perspectives, talents and backgrounds;

• Has ability to resolve stressful situations with internal clients and regulators;

• Exercises good business judgment and is aware of when to escalate issues;

• Strong initiative and a self-starter with the ability to work with minimal supervision

• Strong knowledge of Microsoft Excel; proficient in other Microsoft Office products including Word, Outlook and other business software.

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.