Legg Mason

  • Associate Compliance Officer

    Job Locations SG-Singapore
    Req. #
    2018-2966
    Division
    Compliance
    Position Type
    Regular
  • Position Overview

    Legg Mason is seeking an Associate Compliance Officer to join the Global Compliance Department. 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:

    Reporting to Head of Singapore Compliance, you will be responsible for helping to monitor the company’s operations to ensure compliance with relevant laws, regulations and requirements.

     

    • Conduct regular reviews of business activities for adherence to regulatory requirements, internal policies and procedures such as review of gifts and entertainment and personal trading activities.
    • Implement the compliance monitoring program by reviewing rules and regulations, and associated risks and controls of business activities
    • Review advertisements and marketing materials for adherence to regulatory requirements and maintain associated metrics.
    • Complete the monthly client confirmation process.
    • Ensure timely submission of reports as required by regulatory agencies.
    • Responsible for licensing and timely reminders of the obligations of licensees.
    • Conduct AML/KYC reviews for new business as well as on an on-going basis
    • Assist with annual and ad-hoc trainings as well as monitoring areas of Gift & Entertainment, Code of Ethics, etc.
    • Participant in Internal as well as External Audits.

    Qualifications:

    • Degree in Accountancy, Banking, Finance or related field
    • Preferably 2 years of relevant working experience in audit / compliance within financial services, preferably in the asset management industry
    • Good interpersonal and communication skills
    • Willingness to use initiative, ability to work independently
    • Understanding / knowledge of the Securities and Futures Act and the Financial Advisers Act
    • Proficiency in Microsoft office, especially in Excel and Access would be a plus

     

    What’s in it for you: 

    • A comprehensive benefits package
    • Extensive paid time off
    • 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!
    • 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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