Assistant Vice President/ Vice President, Compliance

Our Company Oaktree is a leader among global investment managers specializing in alternative investments, with more than $220 billion in assets under management. We are committed to cultivating an environment that is collaborative, curious, inclusive and honors diversity of thought. The firm has more than 1,400 employees and offices in more than 25 cities worldwide.

Requirements

• Responsible for all aspects of the compliance program for Oaktree Japan’s operations and regulatory obligations relating to IAABO, IMBO Type II FIBO and the DIM (discretionary investment management) license.
• Keeping abreast of changes in regulatory requirements in Japan and other jurisdictions and addressing the impact on Oaktree’s activities in Japan;
• Providing guidance internally on matters relating to the compliance manual and internal policies (including Oaktree’s firmwide code of ethics), marketing practices, licensing matters, conflict management, record retention, regulatory inspections, surveillance and investigations, and liaising with regulators;
• Advising Oaktree Japan’s marketing team on aspects of sales and marketing activities, including conduct of marketing practice, marketing materials (which must comply with Japanese and US requirements), anti-money laundering, fund registration and maintenance, fund notifications, and distribution arrangements;
• Advising Oaktree investment team(s) on conducting activities within the existing permitted regulatory parameters and driving new licensing application for purpose of business expansion if required;
• Working closely with members of the Compliance, Legal, Accounting, Tax, HR and other departments in Hong Kong, Singapore, Los Angeles, London and other individuals to coordinate the various responsibilities;
• Coordinating, managing and working with external advisers, including local counsel, consultants and company secretaries;
• Performing other tasks and global projects as necessary.