Legg Mason

Compliance Officer (Financial Promotions)

UK-London
Req. #
2017-2406
Division
Compliance
Position Type
Regular

Position Overview

Legg Mason is currently seeking a bright seasoned Compliance Officer to join our team in Broadgate Tower in beautiful downtown London. This team provides services to the European hub of the Legg Mason Global Distribution business, its entities and activities, and to the Legg Mason European domiciled funds.  The entities covered are based in the UK, Ireland and Switzerland, and there are sales offices in Paris, Madrid, Frankfurt, Milan, Zurich and Geneva.

Key Responsibilities & Duties Include, but not Limited to

  • Review of marketing and presentational materials, as produced by the LM Marketing and Sales teams, for Compliance with relevant regulatory requirements. This includes standard materials (pitchbooks, fact sheet, prospectus) as well as an increasing number of customised materials. 
  • To build a relationship with Distribution focused Compliance colleagues to ensure consistency of service and advice.
  • To build a relationship with the Marketing, Sales and Client Services teams to help with queries and standard environment challenges.
  • Provide training to the Marketing and Sales teams.
  • Support Compliance of the EU branch offices and Swiss offices.
  • Keeping up-to-date with regulatory developments that impact marketing materials, fund distribution, and cross border fund industry.
  • Make recommendations for appropriate business procedural amendments when necessary to meet changed regulations.

Ideal Qualifications and Experience

  • 3-5 years' experience in compliance or other relevant functions.
  • Educated to degree level or equivalent qualification preferably in related areas such as Compliance, Financial Regulation, Law, Governance.
  • Knowledge of FC rules or equivalent as applicable to asset management and UCITS and AIFMD environments and knowledge of financial promotions and distribution elements.
  • Understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, and practical experience of at least one of UK, Luxembourg, or Dublin domiciled funds.
  • Prior experience of review of marketing material for UCITS Funds and / or alternative funds, ideally including cross border marketing.
  • Multi-lingual preferred (French /German /Italian /Spanish) 

Preferred/Nice to Have:

  • Professional qualification such as IAQ, IMC, CFRA, or an Investment Compliance diploma advantageous.
  • Knowledge of European regulators requirements would be advantageous.
  • Prior experience of due diligence or financial crime matters would be preferred
  • Prior experience of Salesforce and/or Lexis-Nexis systems would be preferred.

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, and accountability. We have a presence in every major financial centre 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.

Benefits

Legg Mason offers a competitive salary and annual discretionary bonus (dependant on company and individual performance).  A comprehensive benefits package including; medical insurance, dental insurance, pension and much more.  

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