Legg Mason's Global Compliance Examination Team (GCE) is currently hiring a Compliance Officer for its Baltimore, MD office.
The GCE team consists of US and Singapore-based regulatory compliance professionals, who provide a key assurance and consultancy service to Legg Mason’s Executive and Senior Management. This is achieved by conducting independent, comprehensive and focused compliance reviews to assess and provide feedback on the adequacy and effectiveness of compliance controls established by Legg Mason’s investment advisory affiliates to manage their regulatory compliance risk and fulfill their regulatory obligations (local and extra-territorial).
Conducting reviews of Legg Mason, Inc.’s world-wide investment advisory affiliates and business units to:
(i) Determine compliance with applicable laws, rules and regulations;
(ii) Assess the controls regarding regulation of investment advisers and their business;
(iii) Ensure conformity with compliance policies and procedures maintained by the firm and industry practices; and
(iv) Review and analyze an affiliate’s investment and trading activities
Personal Skills and Qualifications:
Legg Mason is a leading global asset management firm that offers rewarding career opportunities for individuals who share our core values: integrity, collaboration, and 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 matc, profit-sharing, extensive paid time off, employee stock purchase plan with company match, paid parental leave, tuition reimbursement, and much more. Learn more about our benefits here.