Assistant Manager overseeing Compliance operations for Southeast Asia - based FinTech company. Engaging in regulatory alignment and policy implementation across several locations.
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
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Lead Analyst responsible for performing technical and analytical duties related to forecasting and tariff development at Avangrid. Managing major projects and providing regulatory support for utility operations.
Director of Regulatory Vault Operations overseeing GSK’s regulatory systems and leading strategic initiatives. Responsible for compliance and efficiency in regulatory submissions across a global landscape.
EMEA Regulatory Consultant providing expertise on EU and UK regulatory frameworks impacting fintech and financial services. Bridging regulatory expectations with product development for compliance solutions.
Manager responsible for ensuring supply chain efficiency at Porsche Holding in Chile. Planning product flow from suppliers to customers using analytical tools.
Business Process Expert for LIMS, focusing on implementation and support within Quality Control. Join a collaborative international team at Grünenthal to enhance our pharmaceutical manufacturing standards.
Quality & Regulatory Specialist at SofMedica ensuring compliance with quality standards and managing quality management systems. Overseeing supplier qualifications and participating in audits.
Team Leader - Compliance Training responsible for designing and developing compliance training programs in financial services. Leading a team and managing training implementation activities in India.
Regulatory Toxicologist supporting clients on product registrations, toxicological evaluations, and risk assessments in the chemical sector. Join a leading sustainability consultancy with a focus on agrochemicals.
Consultant GRC confirmed assisting clients in strategic aspects of cybersecurity. Working on risk analysis and compliance with standards in a hybrid role in Courbevoie.