Oaktree Capital Management

Compliance Analyst

US-CA-Los Angeles
Job ID
2017-1394
Job Department
Compliance

Responsibilities

Based in downtown Los Angeles, the Compliance Analyst will assist in the monitoring of compliance with a number of Oaktree internal policies and regulatory requirements.

Responsibilities include:

  • Administering and maintaining third-party anti-money laundering (“AML”) screening system;
  • Investigating alerts for money laundering risk and escalating potential issues, as appropriate;
  • Assessing and overseeing timely execution of ongoing AML screenings;
  • Assisting with coordination of anti-corruption policies and procedures to ensure timely completion;
  • Assisting with money laundering and bribery/corruption related queries/questionnaires;
  • Tracking and monitoring current money laundering, anti-corruption and terrorist financing issues, regulations, industry best practices and developing trends;
  • Performing initial and ongoing review of client account forms, identifying and escalating potential issues, as appropriate;
  • Tracking and notifying licensed representatives of pending requirements of continuing education program and CFTC/NFA ethics training;
  • Reviewing correspondence of licensed representatives;
  • Administering and maintaining a third-party online training system, including tracking and monitoring training course assignments and completions for new hires and existing employees;
  • Processing registration for FINRA and CFTC/NFA licensed individuals and maintaining associated files in a consistent and well-organized manner;
  • Assisting with the coordination and filing of certain SEC, CFTC/NFA, and FINRA disclosure documents;
  • Assisting with internal reviews and external regulatory examinations, including compiling of requested data;
  • Assisting with the drafting of new/updating of existing compliance policies and procedures as well as job aids;
  • Other duties as assigned.

Qualifications

  • 2-5 years’ experience within the financial services industry;
  • Working knowledge of FINRA broker-dealer and AML/OFAC rules;
  • Working knowledge of the SEC Investment Advisers Act of 1940;
  • FINRA Series 7 and 24 preferred;
  • General understanding of fixed income, equity and alternative instruments and asset management industry generally; and
  • Strong skills in Microsoft Office applications, with an emphasis on Excel and Sharepoint.

 

Personal Attributes

  • Outstanding initiative and a self-starter;
  • Excellent oral and written business communication skills;
  • Exceptional analytical abilities;
  • Superior attention-to-detail and organizational skills; and
  • Team-oriented and possesses strong integrity.

Education

Bachelor’s degree is required.

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