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.
- 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.