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Chief Compliance Officer
(more about Western Asset)
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Unfortunately Western Asset has archived this job posting, they are no longer accepting applications.

Chief Compliance Officer

Job Description

As Chief Compliance Officer you will lead and manage Western Asset’s global compliance program including regulatory affairs. You will serve as a subject matter expert ensuring our business is aligned to changing market conditions. You will develop an overall strategic vision for the compliance functional areas. You will identify, manage and resolve compliance issues; represent Western Asset before prospects, clients, regulators and other stakeholders. You will develop compliance policies and procedures; track legal and regulatory changes and trends; and oversee regulatory examinations and assessments. This role will report directly to the General Counsel, Head of Legal and Compliance.

 

What you will do

  • Manage and monitor all aspects of the Firm’s compliance program, including overseeing compliance with all applicable laws, regulatory requirements, policies and procedures; developing and implementing policies and procedures; monitoring the effectiveness of controls and performing compliance review functions, including on new products, marketing materials and investor documentation; and oversee the preparation and submission of regulatory filings, and responses to regular and periodic compliance requests and certifications.
  • Develop and implement best practices and process improvements, including participation in internal and external projects concerning the implementation of new legal and regulatory requirements; monitor trends and regulatory changes to assess their potential or actual impact on the firm; and carry out assessments to identify areas of potential compliance risks in order to implement preventive/corrective strategies.
  • Track global regulatory changes and ensure that Western Asset remains current with policies, procedures and controls.
  • Develop an annual compliance work plan, including periodically revising the plan in light of changes, updating and delivering annual compliance training and lead and/or report to committees, as applicable.
  • Coordinate efforts related to audits, reviews and examinations, including interfacing with regulators.
  • Participate on internal committees and working groups on a variety of topics, including information security, broker review, operations and ESG.
  • Stay current on compliance solutions in the financial technology space and build an in-depth knowledge of the technology that we use at the firm.
  • Mentor and lead the global S. compliance team in a collaborative and productive way, and develop strong partnerships with the U.S. and global business.

 

What you will bring

  • You are an experienced leader with extensive business knowledge, broad and deep functional expertise, high ethical standards and significant product knowledge.
  • A minimum of 10 years of experience working with regulators.
  • Expert knowledge working in the financial services sector. Global asset management experience is preferred.
  • Previous experience as a representative for a firm or as an industry expert. Technology and analytics champion with experience automating or operationalizing compliance solutions, including working knowledge of how to build compliance solutions using technology.
  • Strategic business advisor with the ability to build strong relationships with business stakeholders.
  • As a people leader you excel in developing, engaging and retaining talented team members; creating a work environment where people can realize their full potential, thus allowing the organization to meet current and future business challenges.
  • Desire and ability to learn and adapt quickly in a high growth environment.
  • Ability to promote a strong corporate compliance culture and operate as a culture and ethics steward.
  • Bachelor’s degree required, JD a plus.

 

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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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.
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Link to Equal Employment Opportunity Poster Supplement
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