AVP-Compliance Automation & Surveillance

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!

What is the AVP - Compliance Automation & Surveillance responsible for?

• The AVP - Compliance Automation & Surveillance will play a pivotal role in leading a dynamic team that focusses on new tools & automation of processes for Regulatory Compliance and the surveillance framework. This position will oversee the development, implementation, and maintenance of automated compliance solutions and surveillance systems. In this role, the individual will provide insights from a compliance perspective to ensure that the tools and framework are aligned to regulatory requirements. Furthermore, the AVP will be instrumental in building and nurturing a talented team, fostering a culture of innovation and excellence. In general, this position will be responsible for leading the Compliance Automation & Surveillance team and assisting the Regulatory Compliance team in conducting their responsibility of oversight and monitoring.

What are the ongoing responsibilities of the AVP - Compliance Automation & Surveillance?

Key Responsibilities:

• Solution Implementation: Oversee the design, implementation, and maintenance of automated compliance solutions, including workflow automation, data analytics, and reporting tools.

• Surveillance Systems: Manage the development and operation of surveillance systems to monitor compliance with regulatory requirements and internal policies. This includes market abuse surveillance and electronic communication surveillance.

• Team Management: Lead and mentor a team of dynamic professionals, providing guidance and support in their roles.

• Stakeholder Management: Collaborate with various stakeholders, including Compliance, FTT, external service providers and other business units, to ensure effective compliance oversight. Work with surveillance service providers including monitor performance and implementation of periodic enhancements.

• Continuous Improvement: Promote a culture of continuous improvement by regularly reviewing and refining development processes. Encourage team members to seek out new learning opportunities and stay current with industry trends

Required Qualifications and Skills:

• Bachelor's degree in law, finance, computer science, or a related field.

• Advanced degree (e.g., MBA, JD) preferred.

• Minimum of 15 years of experience in compliance, risk management, or a related field.

• Strong understanding of compliance regulations and industry standards.

• Experience with compliance automation tools and technologies.

• Proficiency in data analysis and visualization tools.

• Excellent project management and organizational skills.

• Strong leadership and interpersonal skills.

• Ability to work independently and as part of a team.

Preferred Qualifications:

• Certification in compliance or risk management (e.g., CIPP, CRCM, CERA).

• Experience in a regulated industry (e.g., financial services, healthcare).

• Knowledge of programming languages (e.g., Python, SQL).

If you are a highly motivated and results-oriented professional with a passion for compliance, we encourage you to apply for this exciting opportunity.