Luxembourg Job Openings
Oaktree Capital Management, L.P.
Assistant Vice President - Compliance
FULL TIME
September 3, 2024
- MNPI controls
- Conflicts management
- Information barriers
- Vendor management rules
- Gifts and entertainment program
- Responding to internal and external stakeholder inquiries regarding regulatory compliance matters
- Assist in the production of compliance reports on a monthly and quarterly basis
- Oversight and Support of the AML/CTF requirements and [AML analyst], including
- Assist the compliance team maintaining AML/CTF policies and keeping Compliance manual up to date
- Support on AML/CTF and Compliance reports submission. escalation reviews and screenings : provide data to providers and review reports
- the annual AML survey and Self-Assessment Questionnaires filled with the regulator
- fund level AML requirements – including taking role of RC for some proportion of funds under management
- Maintain regulatory reporting schedule and its implementation
- Oversee CMP and work with other LFE team on inputs and output to testing and selection
- Assess new products, asset/classes, and new deals
- Support in drafting risk assessments and reviewing risk appetite
- Maintain regulatory tracker
- Maintain regulatory interactions with Regulators
- Liaising with other LFE functions to include their interactions
- Interactions with branch regulators are logged
- Ensure regulatory and deliverables are timely managed
- Prepare and coordinate training
- Academic degree in Finance, Audit or Law
- 5 - 8 years' of experience in Compliance or Internal Audit
- Good command of Microsoft Office tools (Word, Excel and Access)
- Interest on fund industry and its related regulations
- Good communication and interpersonal skills, ability to listen, provide and receive feedback
- Able to understand and interpret legislation and legal documentation
- CAMS, ICA is an advantage
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