Legg Mason

  • Associate Compliance Officer

    Job Locations US-CT-Stamford | US-NY-New York
    Req. #
    Position Type
  • Position Overview

    Legg Mason is seeking an Associate Compliance Officer to join the Global Compliance Department. This position can be based in Legg Mason’s Stamford, CT or New York office (Midtown). This exciting position is ideal for the ambitious, analytical, self-starter who is interested in a career in financial services compliance. Apply now and kick start your career with a global asset management firm today!

    Key Responsibilities:

    • Assist Compliance Officers in conducting testing and surveillance of various departments across the organization (including sales, marketing, operations)
    • Analyze data and prepare findings and corrective actions where required
    • Create summary reports to Compliance and Business Management that detail compliance findings and corrective actions
    • Conduct spot checks of business units and branch offices to verify adequate controls
    • Search data bases and other resources for regulatory notices, findings, and rule proposals that can assist the compliance department
    • Thoughtfully organize and maintain testing work papers and other data
    • Organize compliance policies and procedures and verify accuracy
    • Assist compliance officers with  writing compliance position papers
    • Maintain compliance data bases
    • Conduct compliance training sessions
    • Assist with registration and continuing education needs


    • Possess knowledge of financial services industry as well as financial instruments (mutual funds, collective investment trusts, ETFs, managed accounts, private placements)
    • Strong analytical and writing skills
    • Experience with electronic document management software and systems
    • Experience with MS Outlook, Excel, PowerPoint, Adobe, SharePoint strongly preferred
    • Must demonstrate willingness to learn and work within a team environment
    • Ability to help troubleshoot and suggest process improvements to processes
    • Meticulous attention to detail and exceptional organization skills
    • Ability to function in a demanding, fast-paced, multi-dimensional role
    • Proven problem-solving skills
    • High level of initiative, the ability to act independently using sound judgment, and adaptable to a dynamic sales environment
    • Must exhibit motivation for seeking out obscure information and anticipate the needs of co-workers and supervisors and work proactively to meet demands
    • Good presentation and public speaking abilities
    • Experience in financial services strongly preferred

    What’s in it for you: 

    • A comprehensive benefits package, including medical, dental, vision, and life insurance (click here to learn more)
    • Extensive paid time off, including extensive paid parental leave for all full-time regular employees with one year of service
    • A culture where continuous improvement, innovation, and growth are top of mind
    • Working for a Company that believes diversity and inclusion is paramount
    • Learning and development: our learning culture encourages and supports learning and development, both on a professional and personal level
    • Working alongside the industry’s best and brightest; we hire people just like you every day!
    • Company-provided Care.com membership
    • Discounts to area fitness centers, large retail chains, cell phone providers, tickets, and more
    • Dress for your Day dress code --  jeans and sneakers are acceptable if your day permits it

    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.


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