Regulatory Compliance Officer

US-CA-Pasadena
Category
Legal & Compliance - Regulatory Affairs

Overview

Individual will be responsible for the completion of testing associated with some aspects of the Firm’s regulatory monitoring program as well as assisting in maintaining the firm’s compliance with various regulatory obligations.

Responsibilities

  • Combination of responsibility for certain functions and working to support others in the group with other functions.
  • Perform various monitoring functions to confirm compliance with Western Asset compliance policies, primarily focusing on review of trading activity.  
  • Support administration of Broker Review Committee
  • Assist in addressing diligence request and RFP responses
  • Assist in coordinating regulatory, external and internal audits as needed
  • Conduct compliance training as needed, such as new hire orientation

Qualifications

  • High ethics and understanding of importance of fiduciary duty and ethical culture
  • Comfort with computer systems and software applications
  • Ability to work autonomously
  • Strong written and verbal communication skills with appropriate diplomatic tone
  • Extreme attention to detail and written documentation
  • Previous experience in the securities industry or with investment advisers is helpful
  • Capacity and interest in learning about and applying investment adviser regulation requirements
  • Appreciation for confidentiality and discretion

 


 

Academic Qualifications (minimum requirements):


Undergraduate degree in related field.


How to Apply

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