Legg Mason

  • Compliance Manager

    Job Locations IE-Dublin
    Req. #
    2018-2645
    Division
    Compliance
    Position Type
    Regular
  • Position Overview

    Legg Mason is seeking a Compliance Manager to fulfil the day-to-day compliance oversight of Legg Mason (Investments) Ireland Ltd (the “Firm”), regulated by the Central Bank of Ireland, and the distribution of its Irish domiciled funds (the “Funds”).

     

    The role will aid the Head of European Compliance, based in London, in leading the Compliance team to achieve its tasks and support the objectives of the business, while building key working relationships with staff across the global business.  

     

    The role’s stakeholders are primarily internal, namely the CEO of the Firm, senior management and staff of Legg Mason Global Distribution Europe, and the Boards of the Funds.

    Key Responsibilities:

     

    • Performing the role of Head of Compliance (PCF-12) for the Firm;
    • Overseeing compliance with the local regulatory obligations of the Firm’s UCITS branches;
    • Assisting in the oversight of Legg Mason Affiliates and sub-managers of the Funds;
    • Presenting Board reports and other relevant Compliance documents, to the Board, the CEO of the Firm, and the Irish Fund Boards;
    • Escalating Anti-Money Laundering (AML) and Financial Crime matters (e.g. SARs) to the Irish Fund Boards;
    • Oversight of the Fund’s Transfer Agent and other third-party service providers;
    • Identifying and escalating risks to the relevant Legg Mason Europe committees and, if appropriate, the Irish Fund Boards;
    • Identifying and implementing enhanced compliance controls to the Head of European Compliance;
    • Updating and maintaining relevant policies and procedures of the Firm;
    • Dealing with Central Bank regulatory queries and coordinating regulatory reporting via ONR;
    • Overseeing the review and approval processes for marketing materials issued in the name of the Firm;
    • Providing compliance training to staff;
    • Implementing and maintaining compliance programs, and assisting with Risk programs;
    • Reviewing proposed new rules, regulations and laws to determine applicability to the Firm;
    • Overseeing the review and resolution process of complaints made against the Firm;
    • Leading as a senior member of Legg Mason European Compliance, assisting with regulatory matters outside of the Firm, when required, including those relating to Legg Mason’s UK regulated firm and domiciled Funds; and
    • Representing Compliance in key business project groups, including committee membership.

    Qualifications:

    • Minimum 5 years’ experience of Compliance in a regulated financial services environment, preferably asset management;
    • Competent knowledge of the Irish Criminal Justice Acts. Consideration will also be given to candidates who have held senior AML or Financial Crime roles;
    • Solid understanding of structure and requirements relating to UCITS funds, including practical experience of Irish and preferably UK domiciled Funds;
    • Excellent knowledge of CBI rules, as applicable to asset managers and UCITS;
    • Knowledge of European regulatory requirements and experience in regulatory change management projects;
    • Broad familiarity with European Fund Distribution activities; and
    • A good working knowledge of Microsoft packages (Word, PowerPoint, Excel);

    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.

    Benefits

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

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