Legg Mason

  • Sr. Compliance Officer (Global Marketing Review)

    Job Locations US-CT-Stamford | US-NY-New York
    Req. #
    2018-2875
    Division
    Compliance
    Position Type
    Regular
  • Position Overview

    Legg Mason is seeking a global marketing review Senior Compliance Officer to join its Global Compliance Department. This position can be based in Legg Mason’s Stamford, CT or New York offices. 

    Key Responsibilities:

    • Review marketing material for consistency with US and International regulatory standards
    • Train marketing staff on rules and regulations relating to global marketing material
    • Utilize technology to assist the firm in achieving an efficient marketing material review process
    • Create summary reports to Compliance and Business Management that detail compliance findings and corrective actions
    • Conduct spot checks of business units to verify adequate controls
    • Assist in drafting compliance policies and procedures

    Qualifications:

    • 3 + years of marketing review experience
    • Knowledge of financial services industry as well as financial instruments (mutual funds, Collective investment trusts, ETFs, UCIT Funds, managed accounts, private placements)
    • Series 7 and Series 24 preferred (or willing to obtain upon joining)
    • Great working knowledge of global securities laws, rules, and regulations relating to marketing material
    • Excellent analytical and writing skills
    • Proficiency with electronic document management software and systems
    • Experienced in using Outlook, Excel, PowerPoint, Adobe, SharePoint
    • Must  demonstrate the willingness to learn and work within a team environment
    • Ability to help troubleshoot and suggest process improvements to processes
    • Meticulous attention to detail, exceptional organization skills
    • Must possess ability to function in a demanding, fast-paced, multi-dimensional role
    • Available for travel
    • Must have proven problem-solving skills
    • High level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic sales environment
    • Good presentation and public speaking abilities

    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.

     

    Benefits

    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 match, paid parental leave for all employees, tuition reimbursement, and much more.  Learn more about our benefits here.

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