Legg Mason

  • Compliance Trainee (12 mo. Fixed Term Contract)

    Job Locations GB-London
    Req. #
    2018-3047
    Division
    Compliance
    Position Type
    Fixed Term Contractor
  • Position Overview

    Legg Mason has partnered with Investment20/20 and is seeking a recent graduate interested in Compliance within the Asset Management industry to join our team in London on a 12month fixed term contract. While you are supporting the Compliance team you will have the opportunity to attend financial industry educational training and events through Investment 20/20. 

     

    This exciting position is ideal for the ambitious, analytical, self-starter who is interested in a career in Compliance and asset management. Apply now and kick start your career with a global asset management firm today! 

    Key Responsibilities:

    • Investigate and document suspicious activity reports escalated internally within Legg Mason and from Transfer Agents.
    • Review and document outcomes of transaction surveillance reports to identify any suspicious activity.
    • Assist with maintaining the Compliance monitoring programme, and assume responsibilities for the delivery of elements of the programmes activities.
    • Support the preparation of the board and committee Compliance reports.
    • Support the Compliance team through keeping up-to-date with regulatory developments impacting the Funds Industry.
    • To provide Compliance support on sales & marketing related issues.
    • Follow regulatory developments and where necessary provide procedural change recommendations for the business.
    • To provide Compliance support and oversight on product development.
    • Assist with regulatory reporting and other matters as and when required including coverage for complaint handling, conflicts of interest management information.

    Qualifications:

    We are looking for school/college leavers and graduates who have an interest in working within financial services.  We are looking for people who demonstrate a strong desire to learn, an interest in financial services and a ‘can do’ attitude.

     

    • Team player who works effectively in an open, non-hierarchical environment with a willingness to learn.
    • Self-starter displaying professionalism, energy and the ability to prioritise time, work under pressure and meet tight deadlines with good attention to detail.
    • Excellent communication skills, both verbal and written.
    • Must be able to work in a small team and under pressure
    • Must be able to react and resolve operational issues in a short time frame

    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.

    Data Privacy Notice

     

    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 to privacy@leggmason.com

     

     

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