Compliance Analyst

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 Compliance Analyst - Investment Compliance - India Group responsible for?

• Perform ongoing, periodic audit of global and regional Compliance Policies & Procedures, as well as thematic risk areas identified during period risk assessment exercises.

• Conduct compliance reviews as per the periodic monitoring & testing plan.

• Conduct independent monitoring of activities across all FT’s investment advisers and associated service providers globally to provide assurance that the business is operating in line with relevant laws, regulations and FT’s Compliance policies and procedures.

What are the ongoing responsibilities of a Compliance analyst? 

This is a professional role in a dynamic growing team. You will be responsible for testing and reporting of monitoring reviews conducted on FT Investment Policies. There will also be an opportunity for you to guide and mentor more junior team members. In addition, we are looking for an innovator who can contribute to continuously transform and improve Investment Compliance (“IC”) monitoring activities, and a forward-thinking professional who can assist in our compliance monitoring analytics initiatives.

Key Responsibilities:

• Review policies; Conduct process walkthroughs to understand the regulatory requirements and associated controls for assigned FT Investment policies.

• Perform an independent analysis of existing workflows and assist in development of test plan; This requires a solid understanding of the business risks associated within the function.

• Test the controls from design & operating effectiveness perspective to identify actual & potential breaches.

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

• Manage the documentation of applicable work papers.

• Execute and manage collection & analysis of data for the purposes of management reporting and audit inquiries.

• Contribute to the continuous improvement of IC monitoring activities.

• Assist with the training of more junior testers within IC.

• Ensure IC Compliance monitoring is considered and leveraged, where possible, for relevant Policy reviews.

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

• Professional certification (CA / MBA / CFA). Postgraduate in finance or related field.

• Experience of 2-5 years with a mutual fund complex, investment advisory firm or investment banking.

• Experience preferably includes 1-5 years within a Compliance or Audit or Risk Management Department.

• Previous experience of Compliance Monitoring and/or testing of internal controls in financial services is a plus.

• Understanding and experience of regulations pertaining to global asset management business is a plus.

• Understanding of asset management business lines and associated compliance risks.

• Experience of data analytics / data visualization in the context of monitoring is a plus.

• Charles River/Alladin Experience a plus.

• Knowledge of SQL and/or Excel VBA is a plus.

Work Shift Timings - 2:00 PM - 11:00 PM IST