Assistant Vice President/ Vice President, Compliance at Oaktree Capital Management, L.P.

Tokyo, , Japan -

Full Time

Start Date

Immediate

Expiry Date

02 Jun, 26

Salary

0.0

Posted On

04 Mar, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance Program Management, Regulatory Filings, Policy Writing, Regulatory Reporting, Record Retention, Compliance Testing, Regulatory Liaison, Conflict Management, AML, Fund Registration, Project Management, Data Analysis, Japanese Regulatory Regimes, English Proficiency, Japanese Proficiency

Industry

Investment Management

Description

Our Company Oaktree is a leader among global investment managers specializing in alternative investments, with more than $220 billion in assets under management. The firm emphasizes an opportunistic, value-oriented, and risk-controlled approach to investments in credit, equity, and real estate. The firm has more than 1,400 employees and offices in more than 25 cities worldwide. We are committed to cultivating an environment that is collaborative, curious, inclusive and honors diversity of thought. Providing training and career development opportunities and emphasizing strong support for our local communities through philanthropic initiatives are essential to our culture. For additional information, please visit Oaktree’s website at http://www.oaktreecapital.com/ Scope and Responsibilities 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. This includes, policy writing, training, regulatory filings, reports and surveys/questionnaires, applications, record retention, compliance testing, liaising with regulators for registrations, ad hoc inquiries and examinations; 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; and Performing other tasks and global projects as necessary. Experience required 5-10 years compliance or legal experience with an international asset management or investment banking firm in Japan. Exposure to US regulatory and fund formation matters; Extensive knowledge of Japanese regulatory regimes, including marketing, licensing and regulatory reporting requirements of the KLFB, FSA and other regulators in Japan as well as industry associations like Type II FIFA, is required. Experience in extensive dealing with Japanese regulators and industry associations and handling Japanese regulatory inspections is a plus; Exceptional English and Japanese reading, writing and speaking skills is mandatory; Proven capability in analyzing complex data, evaluating information, identifying key issues and drawing logical and commercial business conclusions ; Track record in planning and project management and in maintaining composure under pressure, while meeting strict deadlines. Education A Bachelor’s degree is required. Equal Opportunity Employment Policy Oaktree is committed to diversity and to equal opportunity employment. Oaktree does not make employment decisions on the basis of race, creed, color, ethnicity, national origin, citizenship, religion, sex, sexual orientation, gender identity, gender expression, age, past or present physical or mental disability, HIV status, medical condition as defined by state law (genetic characteristics or cancer), pregnancy, childbirth and related medical conditions, veteran status, military service, marital status, familial status, genetic information, domestic violence victim status or any other classification protected by applicable federal, state and local laws and ordinances. This policy applies to hiring, placement, internal promotions, training, opportunities for advancement, recruitment advertising, transfers, demotions, layoffs, terminations, recruitment advertising, rates of pay and other forms of compensation and all other terms, conditions and privileges of employment. This policy applies to all Oaktree applicants, employees, clients, and contractors. Staff members wishing to report violations or suspected violations of this policy should contact the head of their department or Human Resources. Equal Opportunity Employment Policy Oaktree is committed to diversity and to equal opportunity employment. Oaktree does not make employment decisions on the basis of race, creed, color, ethnicity, national origin, citizenship, religion, sex, sexual orientation, gender identity, gender expression, age, past or present physical or mental disability, HIV status, medical condition as defined by state law (genetic characteristics or cancer), pregnancy, childbirth and related medical conditions, veteran status, military service, marital status, familial status, genetic information, domestic violence victim status or any other classification protected by applicable federal, state and local laws and ordinances. This policy applies to hiring, placement, internal promotions, training, opportunities for advancement, recruitment advertising, transfers, demotions, layoffs, terminations, recruitment advertising, rates of pay and other forms of compensation and all other terms, conditions and privileges of employment. This policy applies to all Oaktree applicants, employees, clients, and contractors. Staff members wishing to report violations or suspected violations of this policy should contact the head of their department or Human Resources. For positions based in Los Angeles For those applying for a position in the city of Los Angeles, the firm will consider for employment qualified applicants with a criminal history in a manner consistent with applicable federal, state and local law. At Oaktree, we focus on hiring individuals with intelligence, dedication, team spirit, integrity and a strong work ethic. We welcome the opportunity to speak with talented professionals who have relevant credentials and experience in investments, marketing and client relations, accounting, legal, compliance, information technology, administrative support and other relevant areas. Equal Opportunity Employment Policy Oaktree is committed to diversity and to equal opportunity employment. Oaktree does not make employment decisions on the basis of race, creed, color, ethnicity, national origin, citizenship, religion, sex, sexual orientation, gender identity, gender expression, age, past or present physical or mental disability, HIV status, medical condition as defined by state law (genetic characteristics or cancer), pregnancy, childbirth and related medical conditions, veteran status, military service, marital status, familial status, genetic information, domestic violence victim status or any other classification protected by applicable federal, state and local laws and ordinances. This policy applies to hiring, placement, internal promotions, training, opportunities for advancement, recruitment advertising, transfers, demotions, layoffs, terminations, recruitment advertising, rates of pay and other forms of compensation and all other terms, conditions and privileges of employment. This policy applies to all Oaktree applicants, employees, clients, and contractors. Staff members wishing to report violations or suspected violations of this policy should contact the head of their department or Human Resources. For positions based in Los Angeles For those applying for a position in the city of Los Angeles, the firm will consider for employment qualified applicants with a criminal history in a manner consistent with applicable federal, state and local law. , the firm will consider for employment qualified applicants with a criminal history in a manner consistent with applicable federal, state and local law.

Responsibilities

This role is responsible for managing all aspects of the compliance program for Oaktree Japan's operations, including regulatory obligations related to various Japanese licenses. Key duties involve policy writing, regulatory filings, providing internal guidance on compliance matters, and advising on marketing and investment team activities.