The Senior Compliance Associate is responsible for assisting in the development, implementation and maintenance of the Firm's regulatory compliance program including, among other things, the development of compliance policies, procedures and processes, maintenance of the firm's Code of Ethics, marketing review and approval, review and analysis of applicable law and regulation and the execution of the firm's compliance monitoring function.
Essential Job Functions:
- Assist in the development, implementation and maintenance of compliance policies, procedures and processes.
- Assist in the analysis and interpretation of applicable law and regulation.
- Perform compliance oversight and tests as directed by the Head of Regulatory Compliance which may include, for example, testing the Firm's adherence to its policies regarding brokerage, soft dollars, best execution, allocation, insider trading and related matters.
- Assist in preparing and conducting initial and quarterly compliance training for Firm employees.
- Review employee trades to ensure compliance with the Firm's Code of Ethics.
- Review marketing and advertising material, including mutual fund questionnaires, client due diligence requests, RFPs and other marketing materials, for accuracy and compliance with regulatory requirements.
- Assist in coordinating and responding to regulatory and/or compliance examinations conducted by internal or external parties.
- Attend compliance and industry related seminars to stay current on regulatory and industry developments.
Disclaimer:
The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all titles, responsibilities and qualifications required of employees assigned to this job.
Job Specifications:
- Knowledge and familiarity with the Investment Advisors Act and the Investment Company Act.
- Ability to comprehend and apply other applicable laws and regulations including those governing the Firm's operations in non-US jurisdictions and those applying to broker-dealers, ERISA clients or private investment funds.
- High degree of confidentiality.
- Superb verbal and written communication skills.
- Flexible and team-oriented with strong integrity and professionalism.
- Ability to operate under pressure and deadlines.
- Outstanding follow-up and prioritizing.
Other Duties:
Special projects as assigned.
Education/Experience:
- Bachelors Degree
- At least four (4) years experience in a comparable position preferred
- Investment management compliance experience required.
Requirements
This position requires an individual who possesses the personal attributes and the professional experience consistent with the Firm's high standards of conduct and performance. In performing the job, the individual must: (i) always act in the best interests of clients, (ii) continuously evaluate and escalate areas of risk to the Firm, (iii) work cohesively and effectively with people across all functions, and (iv) comply with all Firm policies and procedures. Accordingly, it is expected that the individual is of high moral character, well-organized and self-directed, with strong personal skills and an ability to execute work objectives in a dynamic, fast-paced environment.
Brandywine Global Investment Management, LLC is an Equal Opportunity Employer
Disclaimer:
The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all titles, responsibilities and qualifications required of employees assigned to this job.
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