Posted in Compliance 30+ days ago.
Type: Full Time
Compliance Officer
Location
US-NY-New York
Category
Legal & Compliance
Job Description
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 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
Qualifications
- 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
Academic Qualifications (minimum requirements):
Undergraduate degree in related field or equivalent.
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EQUAL EMPLOYMENT OPPORTUNITY (EEO) Western Asset Management is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, citizenship, age, marital status, medical condition (including pregnancy and related conditions), physical or mental disability, protected veteran status, and/or any other characteristic protected by law.