Regulatory Compliance Officer

7 days ago

Melbourne, Victoria, Australia Western Asset Management Company Full time

WHO IS WESTERN ASSETWestern Asset Management focuses on supporting our clients' financial goals and creating positive outcomes for all kinds of people.

Primarily a globally integrated fixed-income manager, we source ideas and investment solutions worldwide, with an emphasis on long-term fundamental value investing, using multiple diversified strategies.

Western Asset Management Company Pty Ltd ("WAM") is a registered Australian company operating with an Australian financial services licence ("AFS").

WAM is an investment advisor of fixed income mandates for wholesale clients including insurance companies, superannuation funds, statutory bodies, foreign corporate entities and, its affiliates, including Legg Mason Asset Management Australia Limited ("LM Australia").

The Regulatory Compliance Officer is responsible for ensuring that WAM operates its business in compliance with its AFS licence, regulatory obligations and fiduciary duties.

This role will report to Western Asset Management Company ("Western") in Pasadena, California which is the home office of the Western Asset Management group of companies globally.

The Regulatory Compliance Officer will be responsible for ensuring that WAM complies with Western's global compliance and control standards.
What you will do Oversee and monitor compliance with the WAM compliance and operational policies and procedures.
Participate as a member of Senior Management team.
Act as an ambassador of Legal & Compliance to all internal stakeholders. Monitor, review and update WAM Compliance Manual as required.
All regulatory requirements Relevant self-regulation and codes of conduct Western group policies Major contractual obligations Undertake investment compliance monitoring, as needed, including: Review of securities positions Administration of investment guidelines Provide oversight of corporate secretarial duties Regulatory / AFS

Licensee Responsibilities:

Liaise with Western to further develop and implement the WAM Compliance Manual as well as local and global policies.

Provide business units with support in their compliance program as required Liaise with the Management Committee and Australian Head of Business to ensure that compliance breaches are monitored, rectified and reported, if necessary.

Liaise with Internal and External Audit and regulatory bodies as required Coordinate and oversee an education program which identifies the high-risk areas for WAM and fosters an awareness of the obligations that attach to business functions Manage Anti-Money Laundering program, including the recurring Audit, and perform as the AML/CTF Officer.

Conduct Annual Compliance Training Administer Code of Ethics Maintain Authorized Signers List Legal /

Group Responsibilities:
Establish and maintain relevant policies and procedures which support the corporate objectives and values of the Group Review marketing material and provide compliance sign-off Liaise and co-ordinate with internal and external legal counsel Collaborate with Western Legal team on local terms for investment management agreements Committee /

Board Responsibilities:

Report to and coordinate the Management Committee meetings Act as minute taker and attend Board meetings Prepare Board and Committee Papers as required Chair and organize Broker Review Committee What you will bring Solid understanding of compliance and its role at WAM.

Depth of understanding of how a funds management company operates and the compliance environment it operates under.
Excellent understanding of corporate governance.
Strong presentation skills for both internal and external audiences Excellent oral and written communication skills.
Familiarity with the AFS licensing regime and the requirements for breach reporting, audit and compliance.

Meticulous and detail oriented approach Team player, with pro-active attitude towards accomplishing tasks with a high level of personal accountability Excellent problem-solving and decision-making skills, with the ability to adapt quickly to changing priorities and deadlines Relevant tertiary degree (such as a Bachelor's degree in Law or Business) A minimum of 5 years of experience in the finance industry, preferably within investment management 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.

Our Commitment to Diversity We believe a diverse and cohesive workforce promotes the formation of different ideas and viewpoints, enhances independent thinking, and helps create a work environment where the best ideas are identified and implemented.

We are committed to unlocking the power of diversity through an inclusive environment that affords everyone the opportunity to develop individually, advance professionally and participate fully in the Firm's success.

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.

We're always on the look-out for creative, curious, collaborative, and entrepreneurial individuals.
Even if you don't see any current opportunities that match your skills, we'd still like to hear from you.
Sign up for our Talent Pool and we'll get in touch when something suitable comes up.
Register today and build your own searchable profile ready for our hiring managers to view.
All you need is a few basic details and an up-to-date copy of your resume ready to upload.
We ,.docx,.doc,.txt files, provided they are smaller than 2 MB.
#J-18808-Ljbffr

  • Regulatory Compliance Officer

    7 days ago

    Melbourne, Victoria, Australia Western Asset Management Company Full time

    WHO IS WESTERN ASSETWestern Asset Management focuses on supporting our clients' financial goals and creating positive outcomes for all kinds of people. Primarily a globally integrated fixed-income manager, we source ideas and investment solutions worldwide, with an emphasis on long-term fundamental value investing, using multiple diversified...

  • Risk & Compliance Officer

    1 week ago

    Melbourne, Victoria, Australia Compliance and Risk Management Recruitment Full time

    Banking & Finance Other Melbourne Permanent / Full Time10th May, 2023:We are working with a growing boutique financial services business who are currently seeking a Risk & Compliance Officer for a newly created role.Key Responsibilities: Incident, breach and complaint assessments Testing and maintaining compliance Compliance checklists Review documents,...

  • Regulatory Compliance Officer

    1 week ago

    Melbourne, Victoria, Australia AusNet Services Full time

    In a Rapidly Evolving Energy Sector, Drive the Application of New Compliance Grow With the Role > Be a Part of The Bigger Picture > Variety of Compliance Topics Careers with Purpose > Collaborative > Inclusive > Flexible Work Environment When you choose AusNet, you'll join genuine people working together making Real. Progress At AusNet, we're the link...

  • Head, Regulatory and Compliance

    7 days ago

    Melbourne, Victoria, Australia GXE Full time

    About us:GXE is the end-to-end platform for Investment Funds, Family Offices and Syndicates.GXE's mission is to provide digital infrastructure and services for Trustee Services, Custody and Fund Administration. We provide investors, asset and fund managers with the tools they need to succeed and enable them to focus on their portfolios and investors whilst...

  • Regulatory Compliance Manager

    7 days ago

    Melbourne, Victoria, Australia Bluefin Resources Full time

    The CompanyYou will be joining an international financial services institution working across a breadth or products within the retail banking space.A day in the life of a Regulatory Compliance ManagerYou will join the Wealth product and technology divisions to provide advice on all regulatory and compliance matters to senior management institutional partners...

  • Manager Regulatory Compliance

    7 days ago

    Melbourne, Victoria, Australia Accountancy Options Full time

    Accounting & Finance (AO) Executive & Managers Melbourne CBD Permanent / Full Time 17/6/2024 CBD/Hybrid role Well known organisation with a great culture and reputation Attractive remuneration package This is a great opportunity to join this very well-known and regarded organisation who occupies beautiful offices but also offers flexible working...

  • Regulatory Compliance Lead

    7 days ago

    Melbourne, Victoria, Australia SEC Full time

    Other (Mining, Resources & Energy)Government - State (Government & Defence) Do work that makes a difference More action is needed to reduce emissions and manage climate change. At the SEC, we are building an enterprising and dynamic team to accelerate Victoria's transition to renewables and help achieve Victoria's renewable energy target of 95% by 2035. ...

  • Regulatory Compliance Lead

    7 days ago

    Melbourne, Victoria, Australia SEC Full time

    Other (Mining, Resources & Energy)Government - State (Government & Defence)Do work that makes a differenceMore action is needed to reduce emissions and manage climate change. At the SEC, we are building an enterprising and dynamic team to accelerate Victoria's transition to renewables and help achieve Victoria's renewable energy target of 95% by 2035.We are...

  • Regulatory & Compliance Manager

    7 days ago

    Melbourne, Victoria, Australia AGL Energy Full time

    Join the change. Together, we'll make history.As we keep the lights on for over four million customers and move towards a more sustainable way of life, it's an exciting time to be at AGL. We're re-imagining how homes and business live and work across the country and we want you to be a part of it. This moment will define our time, and your career as you work...

  • Compliance Coordinator

    1 week ago

    Melbourne, Victoria, Australia Compliance and Risk Management Recruitment Full time

    Admin / Secretarial / Office Support Other Melbourne Permanent / Full Time16th February, 2023:We are working with a boutique, culture focussed Australian asset management business. They are a commercial business with exciting initiatives and set up for success. They are looking for a compliance professional to work alongside a team of highly skilled asset...

  • Regulatory Compliance Lead

    7 days ago

    Melbourne, Victoria, Australia SEC Full time

    Other (Mining, Resources & Energy)Government - State (Government & Defence)Do work that makes a differenceMore action is needed to reduce emissions and manage climate change.At the SEC, we are building an enterprising and dynamic team to accelerate Victoria's transition to renewables and help achieve Victoria's renewable energy target of 95% by 2035.We are...

  • Regulatory & Compliance Lead

    7 days ago

    Melbourne, Victoria, Australia Salt Recruitment Full time

    Salt has teamed up with a Global SaaS organisation based in Melbourne who is currently seeking a Regulatory & Compliance Lead to join one of their teams on a permanent basis. Our client is currently going through an exciting period of growth and are in the process of building out a new hub as they look to revolutionise the Energy sector by building...

  • Regulatory Officer

    7 days ago

    Melbourne, Victoria, Australia Australian Health Practitioner Regulation Agency (AHPRA) Full time

    Job no: V13779Work type: Fixed Term Full TimeLocation: Adelaide, Brisbane, Melbourne, Perth, Any - Any locationCategories: ComplianceThe Australian Health Practitioner Regulation Agency (Ahpra) works in partnership with 15 National Boards to implement the national regulatory scheme for health professionals. The purpose of health practitioner regulation is to...

  • Regulatory Officer

    7 days ago

    Melbourne, Victoria, Australia Brenntag Full time

    Our team in Melbourne currently has an opening for a Regulatory Officer YOUR ROLE & RESPONSIBILITIES ProvideBusiness Units and their Principals and Customers with Regulatory support,ensuring compliance with all obligations under any laws, regulations, orself-regulatory programs as they apply in Australia and New Zealand and assistthe Regulatory...

  • Regulatory/compliance Sme

    7 days ago

    Melbourne, Victoria, Australia CUBE Full time

    Role:Regulatory SMELocation**:Australia (Remote-first with occasional travel to Melbourne required)Recently listed as a "RegTech Top Performer" in Market Fintech's RegTech Supplier Performance Report, CUBE is pioneering the development of machine automated compliance.We are a global RegTech business defining and implementing the gold standard of regulatory...

  • Regulatory Compliance Manager

    7 days ago

    Melbourne, Victoria, Australia Jetstar Full time

    Join the Jetstar team at a pivotal moment in our history as we embark on a new era of low fares travel. As we emerge from the pandemic, the outlook for our domestic and international flying is very strong and our teams are excited to welcome our new A321LR Neo's as we continue on our mission to offer all day, every day low fares so more people can fly to...

  • Regulatory Compliance Lead

    7 days ago

    Melbourne, Victoria, Australia Suncorp Group Full time

    Flexible working locations of Brisbane, Melbourne, Sydney or Newcastle 12-month contract opportunity Maintain appropriate oversight of Learning governance requirements The role of the Regulatory Compliance Lead is pivotal in ensuring Suncorp's adherence to regulatory compliance requirements across various domains, including training, recruitment,...

  • Regulatory Compliance QA Advisor

    7 days ago

    Melbourne, Victoria, Australia Energy Australia Full time

    Purpose of our Legal and Governance Team In amongst all the exciting things happening within our industry and across EnergyAustralia, this team delivers legal and compliance risk management and robust corporate governance to advance EnergyAustralia's purpose. The team will provide you with a supportive and flexible culture to help you develop and thrive both...

  • Regulatory & Compliance Advisor - Retail

    7 days ago

    Melbourne, Victoria, Australia AGL Energy Full time

    Join the change. Together, we'll make history.As we keep the lights on for over four million customers and move towards a more sustainable way of life, it's an exciting time to be at AGL. We're re-imagining how homes and business live and work across the country and we want you to be a part of it. This moment will define our time, and your career as you work...

  • Regulatory Compliance Auditor

    1 week ago

    Melbourne, Victoria, Australia Energy Safe Victoria Full time

    Our purpose is to keep Victorians energy safe and ensure energy is used confidently. Through education, regulation and enforcement, we work to ensure that energy safety, supply and efficiency are a priority in Victoria and something our customers can be confident in. Our people come from a wide range of professions with diverse skills and experience driving...