Legg Mason

Compliance Officer (Mutual Funds)

US-NY-New York
Req. #
Position Type

Position Overview

Legg Mason is currently seeking a junior to mid-level Compliance Officer to join the US-Mutual Fund Compliance team.  This position is based at the Firm's Times Square office in New York, NY (Midtown).

Key Responsibilities & Duties Include, but not Limited to

Manage various projects from inception through completion that have an impact on various business functions related to the Firm's mutual fund business including;

  • Identify risks and potential gaps in controls and processes and areas for improvement; 
  • Provide oversight of proprietary and outsourced mutual fund service providers;
  • Develop & present reports and presentations for mutual fund boards;
  • Analyze errors and determine appropriate resolution;
  • Participate in new product implementation;
  • Provide training to mutual fund business personnel regarding compliance responsibilities.

Ideal Qualifications and Experience

  • Bachelor's Degree;
  • 4-6 years' experience in financial services, especially mutual fund and/or asset management compliance, consultancy or internal audit involving some or all of the following: risk identification, controls development, control monitoring, training, and oversight of outsourced activities;
  •  Ability to communicate effectively with all levels of management in various business areas (Sales, Portfolio Management, Compliance, Legal, Fund Accounting, Product) in written and verbal forms; and related securities rules and regulations;
  • Ability to identify regulatory issues and work independently to develop solutions;
  • Available for limited domestic travel

Preferred/Nice to Have:

  • Experience with AI, blockchain, or other developing technology;
  • Project management experience;
  • Available for limited domestic travel

Company Overview

Legg Mason is a leading global asset management firm that offers rewarding career opportunities for individuals who share our core values: integrity, collaboration, passion for results, empowerment, and a commitment to our profession. We have a presence in every major financial center across the globe, and we look for exceptional professionals who want to shape a rewarding career through intellectual curiosity, leadership, and team-oriented approach. If you are passionate about the investment business and about building your future with one of the industry's premier firms, consider the opportunities at Legg Mason today.


Legg Mason offers a competitive salary and comprehensive benefits package which includes medical, dental, vision, 401(k) with company match, extensive paid time off, employee stock purchase plan with company match, profit sharing, paid parental leave, tuition reimbursement, and much more.  Learn more about our benefits here.




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