At Franklin Templeton, we’re driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that’s both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we offer opportunities not only to help you reach your potential but also to contribute to our clients’ achievements.
Come join us in delivering better outcomes for our clients around the world!
The Sr. Compliance Analyst performs tasks that require a solid understanding of applicable rules and regulations. This role independently performs tasks with moderate scope and complexity in the areas of monitoring, testing, and reporting with moderate supervision. The Sr. Compliance Analyst should be able to recognize compliance matters that require further escalation to management and provide potential solutions to address these matters.
Scope: This role completes more complex tasks, with moderate supervision, and provides guidance to junior level staff, where applicable.
We are currently seeking an experienced professional to join the Compliance Review Team (CRT).
Sitting in the second line of defense, CRT performs thematic reviews of targeted regulatory risk areas. Our work is informed by periodic compliance risk assessments facilitated by CRT with compliance officers globally.
CRT is responsible for providing independent oversight activities across FT’s investment advisers and associated service providers globally. CRT seeks to provide targeted assurance that the business is operating in line with relevant laws, regulations, codes and where relevant FT’s Global Compliance policies and procedures.
This is a senior professional role in a dynamic growing team. You will be responsible for developing, timely execution, and report writing for thematic monitoring reviews. As a senior in the team there may also be opportunity for you to guide and mentor more junior team members and guest testers from the broader Regulatory Compliance team. This role requires excellent relationship building skills as CRT 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 transform and improve CRT oversight activities and who can assist in embedding and expanding the use of analytics within our thematic reviews.
Key Responsibilities:
Conducting timely second line thematic compliance reviews within an agile annual plan.
Testing adequacy of the control environment within key business and product areas to strengthen FT’s response to regulatory risk.
Agreeing findings with business management and preparing formal reports to inform key stakeholders of the outcome of reviews and agreed actions.
Contributing to the continuous improvement of CRT’s monitoring and reporting approaches.
May participate in CRT’s periodic stakeholder collaboration meetings.
Assist with the development of more junior testers within CRT or guest testers within the wider Regulatory Compliance team.
Good experience of monitoring and testing within financial services.
Understanding and interest in the activities of asset management business lines and associated regulatory compliance risks.
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.
Flexible worker with ability to work under pressure and deliver against tight timelines.
Good understanding and experience of regulations pertaining to global asset management business. Knowledge of US / EU / APAC regulatory environment would be advantageous.
Professional certification (CA, MBA) in a related field a bonus.
Experience of data analytics / data visualization is desirable.
Work Shift Timing - 2:00 PM - 11:00 PM IST
Experience our welcoming culture and reach your professional and personal potential!
Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.
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By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have them covered.
Highlights of our benefits include:
Professional development growth opportunities through in-house classes and over 150 Web-based training courses
An educational assistance program to financially help employees seeking continuing education
Medical, Life and Personal Accident Insurance benefit for employees. Medical insurance also cover employee’s dependents (spouses, children and dependent parents)
Life insurance for protection of employees’ families
Personal accident insurance for protection of employees and their families
Personal loan assistance
Employee Stock Investment Plan (ESIP)
12 weeks Paternity leave
Onsite fitness center, recreation center, and cafeteria
Transport facility
Child day care facility for women employees
Cricket grounds and gymnasium
Library
Health Center with doctor availability
HDFC ATM on the campus
Learn more about the wide range of benefits we offer at Franklin Templeton
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and existing employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.
Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to accommodations@franklintempleton.com. In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.