Compliance Officer

3 weeks ago

Pasadena, United States Western Asset Management Full time

WHO IS WESTERN ASSET

Western Asset Management focuses on supporting our clients' financial goals and creating positive outcomes for all kinds of people. Primarily a globally integrated fixed-income manager, we source ideas and investment solutions worldwide, with an emphasis on long-term fundamental value investing, using multiple diversified strategies.

Come join our team Our success depends on an entrepreneurial mindset, along with an awareness of the demands of a highly regulated business. At the same time, we depend on building strong relationships with other teams, and value a diplomatic approach to addressing legal issues and compliance. Each day is an opportunity for us to drive results and shape our future. We touch every aspect of fixed-income investment management from trading and settlement systems to client service and risk management. You will ensure client portfolios are invested in accordance with client guidelines, internal policies and procedures and regulatory law.

What you will do

* Daily oversight of assigned portfolios for compliance with guidelines, internal policies and regulatory issues
* Review of post trade activity for compliance issues
* Partner with portfolio management group to conduct post-trade analysis and what-if scenarios on proposed strategies
* Review all portfolios on a monthly and quarterly basis to ensure compliance
* Responsible for client reporting and processing client guideline changes
* Collaborate with portfolio managers, client service executives and associates to resolve compliance issues
* Provide support to the team on ad-hoc projects as required

Self-Starters start here

Strong organizational skills and the ability to multitask are essential, as is attention to detail. Ready and eager to play your part in the wider legal function, you'll be a team player, keen to learn from others, drive your own development and share your experience. We'll give you the support you need to make a significant contribution, building on your business and technical know-how and developing your communication and interpersonal skills.

What you will bring

* In depth knowledge of fixed income securities
* Previous experience in the securities industry
* Extreme attention to detail and written documentation
* Ability to interpret written guidelines and legal documents
* Strong research capabilities
* Proficiency in various computer systems and software applications
* Ability to learn new technological systems and software programs
* Undergraduate degree in related field or equivalent work experience

Expected base salary for the role will generally be between $74,000 and $102,000 per year at the commencement of employment. However, base salary if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include other forms of compensation such as, discretionary bonuses, short and long-term incentive packages, and Company-sponsored benefit programs.

About Western Asset

At Western Asset we're saying hello to the future. Committed to being the leading fixed-income investment management firm in the world, we're investing in new technologies, methodologies and markets. We're also investing in our people. Our business is guided by a belief in doing the right thing: that if we treat our clients and colleagues with fairness and respect, success will follow. We're building on our reputation and resources with an entrepreneurial approach that drives innovation. Every day is an opportunity for us to get better by making the most of the possibilities that our people and ideas can bring.

Our Commitment to Diversity

We believe a diverse and cohesive workforce promotes the formation of different ideas and viewpoints, enhances independent thinking, and helps create a work environment where the best ideas are identified and implemented. We are committed to unlocking the power of diversity through an inclusive environment that affords everyone the opportunity to develop individually, advance professionally and participate fully in the Firm's success.

EQUAL EMPLOYMENT OPPORTUNITY ("EEO")

Western Asset Management is an Equal Opportunity/AffirmativeAction Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, citizenship, age, marital status, medical condition (including pregnancy and related conditions), physical or mental disability, protected veteran status, and/or any other characteristic protected by law.

Link to Equal Employment Opportunity Statement

Link to Pay Transparency Notice

Link to Equal Employment Opportunity Poster

Link to Equal Employment Opportunity Poster Supplement

Link to Vietnam Era Veterans Readjustment Assistance Act

Join our talent pool

We're always on the look-out for creative, curious, collaborative, and entrepreneurial individuals. Even if you don't see any current opportunities that match your skills, we'd still like to hear from you. Sign up for our Talent Pool and we'll get in touch when something suitable comes up.

Register today and build your own searchable profile ready for our hiring managers to view. All you need is a few basic details and an up-to-date copy of your resume ready to upload. We support .rtf, .docx, .doc, .txt and .pdf files, provided they are smaller than 2MB.

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