Western Asset

Returning Candidate?

Compliance Officer

Compliance Officer

US-NY-New York
Legal & Compliance - Regulatory Affairs

Opportunity Details


Individual will ensure client portfolios are invested in accordance with client guidelines, internal policies and procedures and regulatory law.


  • Daily oversight of assigned portfolios for compliance with guidelines, internal policies and regulatory issues
  • Review of trading activity for compliance issues
  • Review all portfolios on a monthly and quarterly basis to ensure compliance
  • Work with portfolio managers, client service executives and associates to resolve compliance issues
  • Maintain an understanding of regulatory requirements relating to the investment industry
  • Assist in establishing, documenting, communicating and implementing firm policies as they relate to regulatory requirements
  • Assist in coordinating regulatory, external and internal audits on behalf of Western Asset
  • Coordination and monitoring of self-regulatory registration and continuing education requirements (e.g. NASD, NFA)
  • Customized client reporting for mutual fund clients
  • SOX reporting


  • 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
  • In-depth research capability
  • Proficient in various computer systems and software applications
  • Propensity to learn new technological systems and software programs


Academic Qualifications (minimum requirements):

Undergraduate degree in related field or equivalent.