Compliance Analyst Trading-823741At Franklin Templeton Investments, we are dedicated to delivering strong results and exceptional service to clients, team members and business partners.
Over 9,000 employees working in 60 offices around the world are dedicated to servicing investment solutions for our clients in more than 150 countries.
For over 65 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 the Compliance Analyst Trading responsible for? The Compliance Analyst Trading ( CTA ) acts as liaison for the Investment Compliance (IC) group, and serves as a point of contact with investment management personnel on pre-
trade compliance related issues, ensuring all transactions are in compliance with regulatory requirements, account restrictions, and internal controls.
The CTA also monitors compliance with investment restrictions stipulated by a variety of sources including but not limited to our own internal policies, fund documentation, client account guidelines, and regulatory requirements.
The CTA will be responsible for preparing reports for AMC / Trustee Board, regulators and assisting in internal / external audits.
The CTA will assist in maintaining and improving systems and processes that will enable the department to safeguard the business from risk of non-
compliance with the aforementioned guidelines. In addition, the CTA will participate and / or take a lead role in projects and independently represent the team in efforts involving other business units within the organization.
As a project lead, the CTA will actively research and propose solutions to complex issues with a focus on leveraging technology What are the ongoing responsibilities of this role?
Pre and Post Trade Compliance :
Work with Traders, Portfolio Management, Compliance personnel and attorneys to ensure pre-trade compliance
Ensure transactions for mutual funds are in compliance with regulatory requirements, account restrictions, and internal procedures.
Approve and provide guidance regarding proposed security transactions.
Timely and appropriate review of material compliance issues identified on the trading desks and provides complex issue resolution.
Responsible for pre-clearance and maintenance of the Watch List for restricted securities.
Performing daily compliance processes using Charles River, Quantis and various data management programs on a pre-trade and post-
trade basis. This includes, but is not limited to :
Pre-trade review, research and close pre-trade alerts. Review relevant restrictions and pre-clear accounts for eligible to participate in IPO and inter-
scheme transactions, follow the process outlined in the Trade Error policy when applicable.
Batch review and research compliance alerts, warnings and data exceptions. Perform required manual calculations and escalate the appropriate notification protocol to IC management and investment management personnel of any potential violations.
Regulatory Filings and preparing AMC / Trustee Board reports :
Furnish all reporting requirements related to RBI, SEBI, AMC Trustee Board and Internal and external regulators.
Preparation of Compliance Test reports (CTR)
Review and implementation of SEBI circulars on timely manner
Other Responsibilities :
Ad hoc requests.
Special projects relating to local / global trading desk compliance (i.e. CSRC committee, set-up of new brokerage accounts etc.)
Relationship management (internal) : determining portfolio and trading business requirements, regular training and ongoing building or rapport for IC customers.
Relationship management (external) : attendance at due diligence and committee meetings
Policy and procedures : Provide practical operational input on trading desk practices to ensure that policies are appropriately implemented :
Education and Training of trading personnel on new regulatory schemes and other policy changes and the fundamental importance of a culture of compliance.
Highlight areas across global / local trading desks where desktop level procedures will be required to create the necessary controls.
Account Reviews :
Perform detailed compliance analysis of all rules in Charles River and Quantis. Review prospectuses and other investment management agreements and validate the revised restrictions are updated in the Charles River System and Quantis.
Perform manual calculations required to ensure compliance. Assist with the setup of new accounts / Funds.
Review and assess existing manual and automated processes in an effort to maximize the potential while mitigating risk and maintain the same level of integrity.
What qualifications are required to be successful in this role?
Minimum 2-4 years’ experience in Investment Compliance / Investment Management / Trade Compliance
BS / BA degree in Accounting, Finance, Business Administrations, MBA is a plus
Knowledge of local securities legislation, complex investment vehicles, derivatives, trade flows & investment strategies
In depth understanding and strong working knowledge of applicable SEBI rules and regulations - Mandate
Knowledge of applicable rules and regulations of international investment advisers located in US, Canada, Europe and Asia (Securities Act of 1933 & 1934, Investment Company Act of 1940, Investment Advisers Act of 1940, Pension Benefits Act and National Instrument 81-
102, UCITS III) - preferred
Solid project management skills; experience with managing timelines and a commitment to execution.
CFA Claritas (or equivalent) accreditation is a plus
Trustworthy, reliable, dependable, effective, efficient, and team oriented
Highly motivated, independent and dedicated
Charles River Experience a plus
Proven ability to work with other analysts / supervisors / project managers to accomplish common goals
Strong interpersonal skills and a talent for building trusted relationship with all level of staff including senior management to accomplish common goals
Exceptional analytical skills, ability to troubleshoot issues quickly and provide timely responses and accuracy
Strong attention to detail and accuracy
Excellent written and oral communication and presentation skills
Strong MS Office and MS Project capabilities
Ability to work independently & look for solution before asking
Strong written and verbal communication and interpersonal skills
Strong time management skills and ability to handle multiple tasks
Mature professional who could express thoughts / suggestions assertively is desirable
Yes; travel may be required
What makes Franklin Templeton Investments 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 :
Professional development growth opportunities through in-house classes and over 150 Web-based training courses
An educational assistance program to financially help employees seeking continuing education
Medical, Life and Personal Accident Insurance benefit for employees. Medical insurance also cover employee’s dependents (spouses, children and dependent parents)
Life insurance for protection of employees’ families
Personal accident insurance for protection of employees and their families
Personal loan assistance
Employee Stock Investment Plan (ESIP)
Franklin Templeton Investments is an Equal Opportunity Employer. We invite you to visit us at http : / / www.franklintempletoncareers.
com / to learn more about our company and our career opportunities.
NOTE : The above statements are intended to describe the general nature and level of work being performed by incumbents.
They are not intended to be an exhaustive list of all responsibilities, duties and skills required by all incumbents. Incumbents may perform other duties as assigned.
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Management retains the right to add to or change the duties of the position at any time.
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