Legg Mason

  • Compliance Analyst

    Job Locations US-NY-New York
    Req. #
    ClearBridge Investments
    Position Type
  • Position Overview

    ClearBridge is seeking a Compliance Analyst to join its New York-based Compliance team.  The ideal candidate is one that has a strong attention to detail and strong communication skills.

    Key Responsibilities:

    • Conduct compliance reviews as assigned, including guideline monitoring, personal trading, trade blotter review, marketing materials, etc.

    • Analyze guideline restrictions and code Sentinel, the automated compliance system

    • Review trade and investment opportunity allocations, IPOs, cross trades.

    • Prepare regulatory filings, monitor concentration of holdings, etc.

    • Prepare documentation to support reviews conducted to substantiate compliance monitoring program.

    • Interact with entire staff.

    • Identify opportunities to enhance monitoring program and materials and work with team towards implementation.

    • Raise potential issues to supervisors.


    • Bachelor's degree

    • Strong PC skills (Excel and Word)

    • Strong communication skills

    • Attention to detail

    • Knowledge of Sentinel or other automated guideline monitoring system a plus

    • Department is seeking a self-motivated team player who has the ability and desire to function independently

    • Minimum 3 years related work experience preferred

    • Adviser or fund compliance background a must

    Company Overview

    ClearBridge Investments is a well-established global investment manager with a legacy dating back more than 50 years and $140 billion in assets under management. We are committed to long-term results through active management. ClearBridge, an affiliate of Legg Mason (NYSE:  LM), operates with investment independence from headquarters in New York and offices in Baltimore, London, San Francisco and Wilmington.

    Led by the insight of proprietary, fundamental research and a team of Portfolio Managers with an average of 25 years of investment industry experience, our investment process provides clients with equity-focused strategies in a number of investment vehicles and personalized, value-added client service. Our strategies are oriented around three primary investment objectives: Low Volatility, High Active Share and Income Solutions.

    The Firm fosters a collaborative and collegial work environment and a culture that promotes career enhancement and development. For the past five years, ClearBridge has received an award in the Pension & Investments Best Places to Work in Money Management survey.    


    ClearBridge is an equal opportunity employer.


    ClearBridge offers a competitive salary and comprehensive benefits package which includes medical, dental, vision, 401(k), profit-sharing, paid time off, employee stock purchase plan, leave, tuition reimbursement, and much more.


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