Legg Mason

  • Senior Compliance Officer

    Job Locations UK-London
    Req. #
    Position Type
  • Position Overview

    Legg Mason is currently seeking a Senior Compliance professional to join our Global Distribution Compliance team focusing on global compliance standards for Legg Mason communications including product material, web sites, and social media. This position is based at the Firm's London office on Bishopsgate, just a short walk away from Spitalfields Market. The role will report to a Compliance Director based in the United States. 

    Key Responsibilities & Duties Include, but not Limited to

    • Develop and implement a global risk-based compliance program for Legg Mason communications covering  mutual funds, closed-end funds, separately managed accounts, private funds, off-shore funds, ETFs, CITs retirement, and 529 college savings plans.
    • Develop written and electronic guidelines for global communications review that address common standards and regional requirements
    • Help develop and utilize technology solutions to provide better efficiency, quality control, transparency and consistency in the review of communications
    • Develop and implement written control procedures for global communications review process
    • Provide training and education to business and compliance personnel
    • Assist with global exams and testing relating to creation and maintenance of communications
    • Coordinate and work closely with compliance and business professionals at Legg Mason’s sales offices in the US, Europe, Asia and Australia
    • Other duties as assigned

    Ideal Qualifications and Experience

    • Bachelor's Degree required;
    • Advanced Degree, or advanced certificate preferred;
    • 3-5 years of experience in a financial services firm with a focus on global consensus building;
    • Excellent working knowledge of global securities laws, rules, regulations relating to marketing material
    • Ability to work in a team environment and collaborate effectively especially across regions
    • Project management experience preferred;
    • Ability to communicate effectively in a global organization with all levels of management
    • Self-directed and motivated;
    • Detail oriented;
    • Available for 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 annual discretionary bonus (dependent on company and individual performance).  A comprehensive benefits package including; medical insurance, dental insurance, pension and much more.  


    Sorry the Share function is not working properly at this moment. Please refresh the page and try again later.
    Share on your newsfeed