| Employer: | Legg Mason
| Job Ref No: |
2639502
| Job Title: |
Compliance Officer, Senior
| Sector: |
Other
| Sub Sector: |
Other
| Risk Type: |
Other
| Expertise: |
Risk Manager
|
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.
Our Compliance Department is currently looking for a Broker/Dealer Compliance Officer. The position can be based in either our New York City office or Stamford, CT office.
Responsibilities:
- Conduct testing and surveillance of various departments across organization (including sales,
marketing, operations)
- Assist firm's AML officer
- Prepare summary reports to Compliance and Business Management that detail compliance
findings and provide corrective actions;
- Assist Business Managers in developing appropriate corrective actions for non-compliance of
policies;
- Review hedge fund communications
- Conduct spot checks of business units and branch offices to verify that adequate controls are in
place and that there is compliance with these controls pursuant to regulatory requirements;
- Review and provide guidance on sales practice matters;
- Serve as single point of contact for business units which will include participating in periodic
sales calls;
- Conduct compliance training and on-going focused training of registered representatives and
business units;
- Modify and maintain as applicable department internal compliance procedures;
- Undergo training in other areas of Compliance;
- Assist other Compliance professionals as needed;
- Attend on-going Compliance training as necessary;
- Other Compliance duties as assigned.
Requirements:
- Bachelors Degree preferred;
- Series 24 preferred;
- Willingness to travel between offices;
- Experience should include distribution activity including wholesaling, AML testing, transfer
agency operation activities, general sales practices and monitoring controls;
- Proficient at interpreting and applying FINRA/SEC/MSRB rules and regulatory positions relating
to distribution activities including sales practices and wholesaling, use of marketing materials
and firm books and records;
- Practiced at conducting meaningful audits of business activities and controls using
representative samples;
- Good written communication skills to prepare detailed responses to business partners/
regulators;
- Good oral communication skills to appropriately discuss and resolve matters with internal
business partners and conduct training sessions;
- Thoroughness and attention to detail;
- Ability to prepare detailed reports and maintain firm books and records to satisfy regulatory
requirements.
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
| Region/Country: |
Americas, United States
| States/Counties: |
New York
| City: |
New York
| Address: | | Post Date: | 12/09/2012 |
