Compliance Officer

Location US-NY-New York
Legal & Compliance

Job Description


Your skills will shape our future

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.



Individual 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 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 and quarterly basis to ensure compliance
  • Preparation of customized monthly/quarterly client compliance certifications
  • Work with portfolio managers, client service executives and associates to resolve compliance issues




  • In depth knowledge of fixed income securities (a plus)
  • Previous experience in the securities industry (a plus)
  • 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


Self-Starters start here

Good organizational skills and the ability to multitask and prioritize under pressure 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


Undergraduate degree in related field or equivalent.

Recent graduates will be considered.


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.




How to Apply

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