Franklin Templeton - Senior Analyst - Compliance

Senior Compliance Analyst

At Franklin Templeton Investments, we are dedicated to delivering strong results and exceptional service to clients, team members and business partners. Over 9,000 employees working in 60 offices around the world are dedicated to servicing investment solutions for our clients in more than 150 countries. For over 65 years, our success has been a direct result of the talent, skills and persistence of our people, and we are looking for qualified candidates to join our team.

What is the Senior Compliance Analyst responsible for? :

We are currently seeking an experienced professional to join the Regulatory Compliance Monitoring Team (RCMT).

Sitting in the second line of defense, RCMT provides ongoing, periodic monitoring of global and regional compliance policies & procedures as well as thematic risk areas identified during period risk assessment exercises.

RCMT is responsible for providing independent monitoring activities across FT's investment advisers and associated service providers globally. RCMT seeks to provide assurance that the business is operating in line with relevant laws, regulations, codes and FT's Global Compliance policies and procedures.

What are the ongoing responsibilities of Senior Compliance Analyst ? :

This is a senior professional role in a dynamic growing team. You will be responsible for developing, executing, and reporting on monitoring reviews. There will also be opportunity for you to guide and mentor more junior team members. This role requires excellent relationship building skills as RCMT has strong partnership with regulated Compliance Officers globally as well as management in first and third line of defence. In addition, we are looking for an innovator who can help continuously transformation and improve RCMT monitoring activities. We are looking for a forward-thinking professional who can assist in embedding and expanding our compliance monitoring analytics program.

Key Responsibilities :

- To conduct second line compliance reviews as per the annual monitoring & testing plan.

- To test the adequacy of controls in place within the business and to identify potential and actual breaches.

- Prepare reports to inform key stakeholders of the outcome of monitoring and review work, including rating findings and assigning owners/actions.

- Contribute to the continuous improvement of RCMT's monitoring approaches.

- Assist with the development of more junior testers within RCMT.

- Ensure local Compliance monitoring activities are considered and leveraged, where possible, for relevant Global reviews.

What ideal qualifications, skills & experience would help someone to be successful? :

- Good experience of monitoring and testing in a second line of defence in financial services

- Good understanding and experience of regulations pertaining to global asset management business. Knowledge of US / EU / APAC regulatory environment is a bonus.

- Professional certification (CA, MBA). Postgraduate in accountancy or related field a bonus.

- Understanding and interest in the activities of asset management business lines and associated compliance risks.

- Experience of data analytics / data visualisation in the context of monitoring is desirable

- Strong interpersonal skills with the ability to communicate effectively at all levels and to engage with senior FT staff within business units.

- Excellent written and verbal communication skills.

- Previous experience of Compliance Monitoring, Internal Audit reviews is highly desirable.

- Organisational, planning, interpersonal, supervisory, analytical, problem-solving, decision-making, and team building skills, flexible and agile approach.

- Flexible worker with ability to work under pressure and within tight timelines.

Job Level - Individual Contributor

Shift Work Timings- 2:00 pm to 11:00 pm (IST)