Senior Portfolio 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!

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

The candidate will play a key role on the Investment Compliance (IC) team in Mumbai. This person will be responsible for monitoring Franklin Templeton’s mutual funds and separate client accounts to ensure that all investment restrictions are always followed. These restrictions may come from regulatory requirements, fund documents, client guidelines, company policies, or prudent risk management practices. To ensure compliance, the analyst will review portfolio data daily and screen trades before they are executed, using specialized compliance tools and Franklin Templeton’s internal systems.

The Investment Compliance (IC) team offers comprehensive support to the Portfolio Management Groups, Trading Desks, and the Investment Risk team. This includes ensuring trade and compliance data is both accessible and accurate, as well as assisting with data resolution and system functionality. This role will serve as a key liaison between Investment Operations, Fund Accounting, Technology, and other support teams to ensure all transactions are completed accurately and on time. The candidate will also be the main point of contact for trading and portfolio management groups based in India.

The Senior Analyst will be responsible for maintaining and enhancing monitoring systems and processes to help prevent the business from violating investment restrictions.

Duties / Responsibilities:

• 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, such as Quantis and Charles River, 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 and ensuring the timely implementation of SEBI circulars. 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, including SEBI, RBI, and the AMC Trustee Board, 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 - Lead the implementation of new account onboarding processes, including the interpretation of investment guidelines, and the coding and 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.

Education and Experience:

• Minimum 3-5 years of Investment Management experience, with a focus on investment compliance or restriction monitoring.

• Bachelor’s degree in Accounting, Finance, or Business Administration (MBA is a plus).

• Professional certifications such as CFA or FRM are highly desirable.

• Thorough knowledge of SEBI and AMFI regulations for Indian mutual funds, including fixed income, equities, and derivatives (options, futures, commodity, interest rate swaps, etc.).

Knowledge, Skills, and Abilities:

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

• Proficiency in MS Office and MS Project.

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

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

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

• Strong attention to detail and accuracy.

• Able to work independently with minimal supervision.

Work Shift Timings - 9:00 AM - 6:00 PM IST