• Compliance Analyst

    Location US-CA-Pasadena
    Category
    Legal & Compliance
  • Overview

    Individual will be responsible for management of data for group initiatives, including development and ongoing completion of oversight tasks associated with some aspects of the Firm’s regulatory monitoring program.  The individual will also assist in maintaining the firm’s compliance with various regulatory obligations and providing service to the group’s internal clients.


    Responsibilities

    • 1- 3 years of experience managing data to move new initiatives forward, particularly with respect to operational workflow and technology tools.
    • Act as a liaison between the Compliance and IT teams and lead the group’s effort to further test trade blotter oversight tools and support broader use of other trading and compliance services tools.
    • Generally become a technology, data, and process resource within the group to spur ongoing improvement
    • Perform various monitoring functions to confirm compliance with Western Asset compliance policies, primarily focusing on handling of data. Ownership of certain monitoring functions and working to support others in the group with other functions.
    • Assist in addressing diligence requests and RFP responses and ongoing requests from internal staff for approvals or guidance
    • Assist with audit preparation and administration, coordinate with or support non-US offices in compliance tasks and conduct compliance training as needed, such as new hire orientation

    Competencies:

    • High ethics and understanding of importance of fiduciary duty and ethical culture
    • Strong comfort with information technology and interest/ability to meaningfully further develop skillset
    • 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

    Qualifications

    Undergraduate degree in related field.

    How to Apply

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