Senior Investment Compliance Analyst
Website Franklin Templeton
At Franklin Templeton, everything we do is focused on one thing – delivering better client outcomes. We do that by partnering closely with our clients, assessing their strategic needs, and identifying the solution or solutions that can meet the challenge. Over 9,500 employees working in 30 countries around the world are dedicated to servicing investment solutions for our clients in more than 155 countries. For more than 75 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 Senior Investment Compliance Analyst responsible for?
The Senior Investment Compliance Analyst will play a crucial role in ensuring that Franklin Templeton adheres to relevant investment regulations, internal policies, and industry best practices. The primary responsibility of this role is to assess and monitor investment activities to ensure compliance with regulatory requirements, client guidelines, company policies, and other internal guidelines. The Senior Investment Compliance Analyst will work closely with various teams, including portfolio management, trading, legal, regulatory compliance, and operations, to identify and mitigate compliance risks while promoting a culture of compliance within the organization.
What are the ongoing responsibilities of a Senior Investment Compliance Analyst?
- Conduct comprehensive compliance reviews of investment activities, including pre-trade and post-trade analysis, to ensure compliance with regulatory requirements and internal policies.
- Collaborate with portfolio managers, traders, and other investment professionals to provide compliance guidance and ensure compliance with investment restrictions and guidelines.
- Develop and maintain a thorough understanding of investment strategies, products, and financial instruments utilized by Franklin Templeton.
- Participate in the review and approval process for new investment strategies, products, and initiatives to ensure compliance considerations are adequately addressed.
- Stay up-to-date with relevant regulations, industry guidelines, and best practices to ensure compliance frameworks are current and effective.
- Monitor and assess the implementation of Sustainability strategies across the firm’s investment portfolios to ensure compliance with stated Sustainability guidelines.
- Collaborate with ESG specialists, sustainability teams, and portfolio managers to review ESG-related data, disclosures, and reports, and verify their accuracy and adherence to ESG guidelines.
- Assess regulatory changes that may impact investment compliance and recommend appropriate actions to maintain compliance.
- Assist where required with compliance testing and monitoring activities, including reviewing best execution, trade allocations, inter-account transactions, and other associated trade related activities.
- Assist where required with the development and enhancement of investment compliance policies, procedures, and controls to align with regulatory requirements and industry best practices.
What qualifications, skills and experience would help someone to be successful?
- Minimum of 6 years of experience within the asset management industry. While investment compliance experience is preferred, candidates with a strong background in investment operations will also be considered.
- Bachelor’s degree in finance, accounting, economics, or a related field would be advantageous but not strictly required. Relevant certifications (e.g., CISI qualifications, CFA Institute qualifications etc) would be a plus.
- Familiarity with investment regulations, including but not limited to UCITS, MIFID, and SFDR. Exposure to other relevant regulation such as US 40 Act would be a plus.
- Familiarity with investment products, financial instruments, and investment strategies employed by asset management firms.
- Excellent analytical skills with the ability to identify and assess compliance risks and propose appropriate solutions.
- Detail-oriented with strong organizational and time management skills to handle multiple tasks and priorities effectively.
- Strong verbal and written communication skills to effectively collaborate with various stakeholders and present complex information in a clear and concise manner.
- Ability to work independently and as part of a team in a fast-paced, deadline-driven environment.
- Proficient in using compliance software and tools; experience with compliance systems and trade order management systems such as Charles River or Aladdin is preferred.
- High ethical standards and integrity.
Joining Franklin Templeton as a Senior Investment Compliance Analyst presents an exciting opportunity to work closely with our Trading and Portfolio Management Teams. You will have the opportunity to contribute to the success of a leading asset management company while ensuring regulatory compliance and maintaining the trust of our clients.
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What makes Franklin Templeton unique?
In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of Total Rewards—the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.
Highlights of our benefits include:
- Contributory pension scheme
- Private healthcare plan
- PHI
- Life insurance
- Employee Stock Investment Program
- Incentive plans
- Purchase of company funds with no sales charge
- Educational reimbursement
- On-site training
We believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and supporting our communities. An emphasis on corporate citizenship is embedded in our culture and values, and is an important element of how we achieve success.
We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals.
Franklin Templeton values diversity in its workforce and welcomes employees from different backgrounds, generations, capabilities, cultural identification, sexual orientations, and gender expression, in addition to other attributes that contribute to a truly diverse and inclusive community. As part of this in the UK we are registered as a Disability Confident Committed Employer, this means we ask if you would consider yourself as having a disability as part of your application so that we can support and make the most of your talents.
If you have a flexible working arrangement within your current role – or are seeking a flexible working pattern – please let us know so we can consider this during the hiring process. Applications from Returners – individuals who have taken a period of time out of work – are also encouraged. This is part of our commitment to creating a diverse and inclusive working environment.
Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need a workplace arrangement to search for, or apply for, one of our positions please send an email to accommodations@franklintempleton.com . In your email, please include the arrangement you are requesting and the job title and job number you are applying for. We will review the request and make a best effort to enact the arrangement. It may take up to three business days to receive a response to your request. Please note that only requests for arrangements will receive a response.