Legg Mason

Global Compliance Examiner (Mutual Funds)

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Position Type

Position Overview

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).


Job Purpose:


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

Key Responsibilities & Duties Include, but not Limited to

  • Develop and maintain knowledge of the regulatory requirements of the jurisdictions in which Legg Mason affiliates operate
  • Lead and/or participate in the planning and execution of compliance examinations including: collaboration with local senior management, compliance, portfolio management and other key personnel; preparation of regulatory compliance risk assessments; design and performance of appropriate reviews/tests
  • Review and test the controls in place for assigned key areas of regulations to determine adequacy of design and effectiveness of operation
  • Review and report on an affiliate’s investment and trading capabilities (investment guidelines, forensic trade testing) and develop new tests to be applied under this program
  • Produce recommendations and summary reports in a clear and concise manner

Ideal Qualifications and Experience

  • Bachelor's Degree, preferably in Finance, English/Journalism, Business Management, Economics or similar subject
  • 2+ years of experience working in financial services or in a legal or compliance role preferred; prior regulatory experience considered a plus
  • Product knowledge of equity, fixed income and/or alternative products and markets a plus
  • Ability to identify, develop and use technology-based compliance monitoring and surveillance tools  
  • Ability to build relationships across departments and among Legg Mason affiliates
  • Superior writing and communications skills required
  • Conversant in Japanese, Chinese, Brazilian Portuguese or other Asian and European languages is helpful but not required


Personal Skills and Qualifications:

  • Ability to interact effectively with others and to address and communicate complex and difficult regulatory matters
  • Ability to gather, analyze and evaluate facts and to prepare and present cogent and concise oral and written reports
  • Excellent interpersonal and communication skills with ability to establish and maintain respectful but effective relationships with executive and senior management
  • Mindful of cultural differences
  • Team player with ability to work with tight deadlines
  • Excellent attention to detail
  • Drive, ability to work under pressure, flexible, deadline and quality focused


Travel Requirement:

  • Ability to travel within the United States, Europe, Asia, Latin America and/or Australia for periods of up to two weeks (but usually one week) at a time in any one location. Travel is estimated to be once per quarter.


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, 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.


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