Compliance Officer, Senior Job Details
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| Compliance Officer, Senior (Ref: 2543242) |
| Sector, Sub Sector: |
Other
|
| Compliance Type: |
Regulatory/Compliance
|
| Expertise: |
-
|
| Company: |
Legg Mason
|
| Location: |
Baltimore
,
Maryland
|
| Employment Type: |
-
|
| Job Description: |
As a leading global asset management firm, Legg Mason offers rewarding career opportunities for individuals who share our passion for investing, and our commitment to putting clients first in everything we do. Whether you have industry experience and are seeking new challenges or are just beginning your career, we invite you to explore the many advantages of joining our global team.
With a presence in every major financial center across the globe, we are always looking for exceptional professionals who want to shape a rewarding career through intellectual curiosity, leadership and collaboration. If you're passionate about the investment business and about building your future with one of the industry's premier firms, consider the many opportunities at Legg Mason today.
Job Summary:
Legg Mason is currently seeking a Senior Compliance Officer to join the US-Mutual Fund Compliance team. This position is based at the Baltimore Corporate Headquarters in Harbor East.
The essential duties and responsibilities include, but are not limited to, the following:
- Preparation of mutual fund board materials
- Develop, maintain and implement compliance policies and procedures
- Develop and implement compliance oversight programs for mutual fund service providers
- Perform surveillance functions with respect to mutual fund compliance with investment guidelines, the Investment Company Act of 1940 and other applicable requirements
- Provide advice to mutual fund service providers regarding their role in implementing the mutual funds compliance program
- Provide training to mutual fund business personnel regarding compliance responsibilities
- Make presentations to mutual fund boards of directors on the CCO's behalf when necessary
- Support the Legg Mason standards program by (i) monitoring the regulatory landscape for changes that affect Legg Mason's registered investment advisers, (ii) keeping current standards up to date, and (iii) working with affiliate CCOs to develop new and amended standards
- Advise on a full range of compliance and legal issues associated with a registered investment advisers of all sizes
- Other duties as assigned
Ideal Education and Experience:
- JD, MBA or equivalent graduate studies preferred
- Ability to communicate effectively with all levels of management in various business areas (Sales, Portfolio Management, Compliance, Legal, Fund Accounting, Performance Group) in written and verbal forms.
- Strong working knowledge of the Investment Advisors Act, Investment Company Act, and related securities rules and regulations
- Strong analytical and problem solving skills
- Entrepreneurial inclination ' ability to work alone and act as a project manager
- Detail oriented
- Ability to identify regulatory issues and work independently to develop solutions
- Ability to work in a team environment and collaborate effectively
- Ability to meet tight deadlines and able to manage time and workflow independently
- Motivated and eager to learn new tasks and skills
- Ability to take the lead and oversee projects or areas
- Available for limited travel
- Candidates must be willing and able to work out of Legg Mason's Corporate Office in Downtown Baltimore
Legg Mason offers a competitive salary and comprehensive benefits package which includes medical, dental, vision, 401(k), paid time off, employee stock purchase plan, tuition reimbursement, and much more.
EOE
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| Job Ref No: |
2543242
|
