Portfolio Compliance Analyst

At Franklin Templeton, we’re advancing 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 provide opportunities to help you reach your potential while helping our clients reach theirs.

Come join us in delivering better outcomes for our clients around the world! 

We are looking for a Portfolio Compliance Analyst to join the Investment Compliance (IC) team based in Hong Kong.

The successful candidate will be an integral part of the IC team within the Asia region and will be responsible for monitoring Franklin Templeton’s mutual funds as well as segregated client accounts to ensure that investment restrictions are adhered to at all times. The restrictions that IC are responsible for monitoring may be stipulated by regulatory requirements, fund documents/client guidelines or by company policies and prudent risk management. Monitoring will be achieved through daily analysis of portfolios as well as the screening of trades prior to execution using compliance tools and Franklin Templeton’s internal systems.

IC provides a wide range of services in support of the Portfolio Management Groups, Trading Desks and the Investment Risk team: This includes ensuring that trade and compliance data is available and accurate as well as assisting in the resolution of data, functionality, and system issues. This role acts as liaison with Investment Operations, Fund Accounting, and Technology teams as well as other support groups to ensure that transactions are processed in a timely and correct manner. The successful candidate will be IC’s point of contact with the various trading desks and portfolio management groups located within Asia.

The Analyst will work to maintain and improve monitoring systems and processes that will enable the department to safeguard the business from risk of non-compliance with restrictions.

• Pre-Trade Compliance – Collaborate with Traders and Portfolio Management teams to ensure prompt resolution of compliance alerts related to investment restrictions. Utilize automated compliance platforms to proactively identify and address potential issues prior to trade execution.

• Post-Trade Compliance – Conduct timely review, analysis, and research of post-trade exceptions generated by the compliance system. Identifying and assessing potential compliance issues, facilitating effective resolution in accordance with regulatory standards.

• Account Compliance Monitoring – Oversee ongoing account compliance by tracking outstanding violations. Escalate any potential non-compliance matters through established notification protocols to IC management and Investment Management groups, as appropriate.

• Information Request Management – Respond efficiently and accurately to information requests and inquiries from internal stakeholders and external parties, including regulators and auditors.

• Regulatory Reporting – Prepare certifications and reports for regulatory bodies and clients, ensuring all documentation is accurate and compliant with relevant guidelines.

• Process and Control Evaluation – Evaluate existing controls and processes to optimize efficiency and minimize the risk of errors, supporting continuous improvement initiatives.

• Account Onboarding Implementation – Participate in new account onboarding process, including the interpretation of investment guidelines and the testing of compliance rules within the compliance systems.

• Project and Ad-Hoc Initiative Participation – Participate in project-based initiatives and undertake additional ad-hoc requests as required by the team, contributing to organizational objectives and strategic goals.

• Bachelor’s degree in Accounting, Finance, or Business Administration or equivalent.

• 2-3 years of experience in the Investment Management industry, with a focus on investment compliance or restriction monitoring would be an advantage.

• Fundamental understanding of the applicable legislation such as SFC Code on Unit Trusts and Mutual Funds and Mandatory Provident Fund Schemes (General) Regulation is preferred.

• Professional certifications such as CFA or FRM would be an advantage.

Knowledge, Skills, and Abilities:

• Familiar with a wide range of asset classes (e.g. equities, fixed income, derivatives, asset-backed securities, Islamic products, etc.).

• Demonstrate strong written and verbal communication, and able to collaborate effectively across teams.

• Possess strong analytical abilities and can resolve problems efficiently and accurately.

• Strong attention to details and accuracy.

• Excellent time management, capable of handling multiple tasks under tight deadlines.

• Able to work independently with minimal supervision.

• Proficiency in MS Office.

• Ability to speak Mandarin and read Chinese is preferred.

• Experience with compliance systems such as Charles River or Aladdin is a plus.

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