Western Asset

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Compliance Officer

Compliance Officer

Location 
US-CA-Pasadena
Category 
Legal & Compliance

Overview

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

Responsibilities

  • Daily oversight of assigned portfolios for compliance with guidelines, internal policies and regulatory issues
  • Review of trading activity for compliance issues
  • Work with portfolio management group to conduct pre-trade analysis and what-if scenarios on proposed strategies
  • Review all portfolios on a monthly basis to ensure compliance
  • Work with portfolio managers, client service executives and associates to resolve compliance issues

Qualifications

  • Knowledge of fixed income securities
  • Previous experience in the securities industry helpful
  • 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 including Microsoft Excel and Access
  • Propensity to learn new technological systems and software programs

 

Academic Qualifications (minimum requirements):


Undergraduate degree in related field or equivalent.