Compliance Analyst ensuring adherence to legal and company standards at Copa Energia, monitoring training programs and supporting data protection compliance.
About the role
- Compliance Associate/Senior Associate supporting Oaktree’s regulatory compliance initiatives in investment management. Collaborating across key compliance areas under the Investment Advisers Act and Investment Company Act.
Responsibilities
- Support in the administration of the firm’s BDC compliance program
- Assist in the preparation and maintenance of regulatory filings, including Form ADV and related disclosures
- Execute compliance testing and monitoring activities in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940
- Provide support for compliance obligations under the Investment Company Act of 1940
- Assist with compliance with Oaktree’s registered funds’ Co-Investment Exemptive Relief Order
- Support the firm’s global data privacy program
- Assist with internal audits, regulatory exams, and information requests
- Prepare materials for the quarterly BDC Board of Directors meetings
- Assist in ad hoc projects associated with US Regulatory Compliance as needed
Requirements
- 3–5 years of compliance experience within an investment adviser, asset manager, or financial services firm
- General knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940
- Proficient in Microsoft Office applications, including Word, Excel, PowerPoint and Outlook
- Outstanding initiative, motivation, and detail orientation with strong work ethic and excellent organizational skills
- Ability to work well under pressure and with time constraints
- Proven ability to manage tasks with competing priorities and deadlines
- Responsible individual with a strong sense of integrity and dedication
- Demonstrates strong interpersonal skills and the ability to quickly build credibility and gain confidence of individuals at all levels
- Team-oriented and able to partner with colleagues to achieve shared goals
Benefits
- Competitive base salary
- Discretionary bonus incentives
- Comprehensive benefits package
- Flexible work arrangements
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