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Sr. Compliance Officer Global Marketing Review

Location
Stamford, CT

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Sr. Compliance Officer (Global Marketing Review)
in
Stamford
Connecticut
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.
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
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
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.
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.
ID: 2018-2875
External Company Name: Legg Mason & Co., LLC
Street: 100 First Stamford Place
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