Legg Mason

  • Client Operations Analyst (AML/KYC)

    Job Locations IE-Dublin
    Req. #
    2018-2914
    Division
    Global Sales Management Analytics
    Position Type
    Regular
  • Position Overview

    Our Global Distribution Group is currently seeking a Client Operations Analyst to join our team. In this role, you will be part of our Business Implementation Team, in Legg Mason's asset management and fund distribution business. This position will be based in our new Dublin, Ireland office, reporting to the Client Operations Manager based in London, and would work closely with the Global Business Implementation Manager based in the United States.

     

    Your main responsibility as Client Operations Analyst will be to undertake due diligence reviews of service providers that distribute and administer Legg Mason’s products globally. Product lines supported are UCITS Funds, AIM Funds, variable investment trusts and alternatives.  Your ongoing due diligence activities will include initial and annual reviews related to Know Your Customer (KYC), Politically Exposed Person (PEP), Financial Crimes, and other regulatory reviews as required.  

     

    In addition, you will assist the Client Operations Manager to coordinate and manage the implementation of business arrangements (Intermediary Onboarding) through close contact and collaboration with internal cross-functional business partners (sales, account services, product, legal, compliance, finance, operations and others).

     

    There will also be opportunities for ad hoc requests regarding legal/regulatory and audit matters, and participation in implementing regulatory changes.

    Key Responsibilities:

    • Collaborate, liaise, interact and influence in a professional manner with employees and colleagues at all levels across the organization as well as in different countries.
    • Be the “voice of the client” within the business sentiment.
    • Prioritize work/projects and meet deadlines; use time efficiently;
    • Proficient in identifying and utilizing appropriate resources to complete assigned projects;
    • Skilled in applying knowledge into practical solutions including identifying gaps and suggesting solutions relating to internal processes and procedures;
    • Excellent oral and written communication skills. Knowledge of an EU language will be an advantage.
    • Able to manage and prioritize workflow and meet deliverables independently.
    • Ability to make decisions and exercise sound business judgement independently.
    • Strong organizational skills are also key to this role given the responsibility to make sure that procedures are followed and be able to monitor this.
    • Understanding of the industry and the challenges.
    • Conduct initial and ongoing due diligence reviews of ~600 financial intermediary business partners to mitigate risk and ensure compliance with policies and best practices.  Includes escalation and resolution of any identified issues with compliance, legal, sales and the client;
    • Provide pre/post support on intermediary arrangements internally and to external clients.
    • Assist with inquiries and provide solutions to issues that may arise (internal and with the client);
    • Assist sales, operations, finance, clients and others with contractual fund availability and pricing/rebate/service fee questions (internal and external);
    • Follow, review and continually update standardized protocols surrounding contract content and internal department procedures;
    • Definition and documentation of cross functional roles and responsibilities pertaining to intermediary lifecycle;
    • Development and maintenance of online procedure manuals (SharePoint);
    • Accurate and timely entry, maintenance and retention of all agreements, documents, and key data points in contract management system (Novatus);
    • Assist with large-scale, time sensitive legal/regulatory or other projects;
    • Respond to internal and regulatory audit queries;
    • Lifecycle review/termination of business arrangements;
    • Assist in preparation and presentation to senior management or sales/other groups of reports and updates;
    • Occasional travelling may be required.
    •  

    Qualifications:

    • 3-5+ years of work experience in a corporate environment with 3-5+ years of work in the asset management or similar financial services industry experience desired;
    • Understanding of the current challenges facing the industry (increased regulation, Brexit implications, pressure on passive asset management regime, etc.)
    • Related Bachelor's degree, with an advanced Masters/Postgraduate degree or professional qualification in the asset management industry a plus;
    • Excellent work ethic and an appropriate sense of urgency;
    • Ability to independently analyze and resolve issues;
    • Smart, high-energy and results-oriented with excellent execution skills;
    • Ability to work in a team environment;
    • Demonstrate a professional and upbeat demeanor;
    • Great organizational skills;
    • Outstanding customer relationship management and servicing skills (able to deal effectively) with clients of all seniority levels as well as internal corporate relationship management skills;
    • Great command of language and excellent reading skills to effectively review and interpret documents;
    • Knowledge of industry screening systems an advantage (e.g. LexisNexis);
    • Technologically proficient in the Microsoft Office suite of products (Excel, Outlook, Word, SharePoint, Visio etc.), as well as Adobe.

    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.  

    Data Privacy Notice

    Information Collected & Usage

    As the data controller, Legg Mason & Co (UK) Limited, Legg Mason Investments (Europe) Limited, or Legg Mason & Co., LLC, (collectively, “Legg Mason”), as applicable, take the security and confidentiality of your personal data very seriously. We explain below what personal data we may collect and how we use and safeguard that personal data.

     

    Usage

    Personal Data Collected

    To process your Application

    Your contact details and information relating to your employment history, education, and personal background, like professional skills and experience.  Further personal information may also be provided in your application documents.

    To help us to satisfy our legal and regulatory obligations

     Diversity information in the initial application process as well as credit history and criminal or civil background screening information as described below.

    To monitor our pathways to recruitment and the effectiveness of our online advertisements

     Your device's IP address

     Information Storage & Transfer

    By submitting your personal data, you agree to the transfer, storage or use noted here.

    Storage

    Transfer

    Your personal data will be retained by Legg Mason for six months, or longer in accordance with our legal obligations, including, but not limited to, our data and record retention policy.

    The data that we collect from you may be transferred to, and stored at, a destination outside the European Economic Area ("EEA"), including the United States. It may also be processed by staff operating outside the EEA who work for us, one of our group companies or for one of our (or our group companies') suppliers. These non-European Union countries may not have the same or equivalent data protection laws as the European Union.  If such transfer occurs, we will ensure that such processing of your personal data is in compliance with applicable data protection laws.

    If you are successful in your application, further information will be requested from you (including but not limited to credit history and criminal and/or civil background screening information). 

    This Privacy Notice is part of our larger Privacy Policy.  For further information, including but not limited to, Information Security, Changes to the Privacy Policy and Contact Information & Data Subject Rights Requests, please see our main Privacy Policy. If you wish to exercise any of the rights you have in respect of your personal data, including but not limited to, your right to access, amend/rectify, erase, port, restrict or otherwise object to our use of your personal data as described here, you should advise Legg Mason by email toprivacy@leggmason.com

     

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