At Franklin Templeton, everything we do is focused on one thing delivering better client outcomes. We do that by partnering closely with our clients, assessing their strategic needs, and identifying the solution or solutions that can meet the challenge.
Over 12,000 employees working in 34 countries around the world are dedicated to servicing investment solutions for our clients in more than 160 countries.
For more than 70 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 Specialist - IC QA in Investment Compliance group responsible for?
Investment Compliance (IC) provides compliance services to Investment Management. This role would require the Analyst to assist IC QA Manager on four main responsibilities;
Policy testing, Process level control testing, Audit co-ordination and Policy updates. The focus of this position is the testing of policies and procedures falling under the purview of the Investment Compliance globally, as well as the maintenance and administration of such policies
Additionally, the analyst will be responsible for conducting routine checks / audits to ensure the integrity of electronic archives, analyst assignments, as well as various forms of information retention
This position may provide consultation and advice to various IC team members but also retains responsibility for production support of testing and reporting
The analyst will also be responsible to build and improve restrictions within the Charles River application, enabling IRM and other departments to safeguard the business from risk of non-compliance with the aforementioned guidelines.
In addition, the analyst will also be involved in project work as assigned by their supervisor or another member of the management group, aimed at improving both the service provided to the business, and our utilisation of the Charles River application.
What are the ongoing responsibilities of Specialist - IC QA? Rule coding :
Adding / removing accounts
Clean up activities, deactivating unused tests
Name / alert note / description / legal text updates
Compliance calculations update
Approve / restrict security types / issuers / lists adding / removing
Adding / removing accounts to and from groups and templates
Market capitalization updates on tests with hardcoded figures
Updating or creating manual rules
Audit coordination / representation :
Facilitate communication with any external team performing a review of IC workflows or output. This position analyzes requests for information, collects applicable data and performs quality control analysis of the results, raising issues with Supervisor / Manager
Testing of procedural controls :
Develop and manage a quality control program to (1) verify that existing workflows and internal controls are effective and efficient;
2) complete applicable testing independently with minimal supervision and (3) communicate and record the results to the IC Supervisor / Manager
Management Metrics, data aggregation / distribution and process improvements :
Assist Supervisor / Manager to identify and execute process improvement solutions to business problems using data analysis and optimization tools to support strategic process improvement plans
The position will also work with Supervisor / Manager to enhance and recommend improvements to management metrics over time and implement agreed upon changes.
Develop, facilitate, and manage the collection / analysis of process of management reporting
What ideal qualifications, skills & experience would help someone to be successful?
Education and Experience :
Bachelor’s / Master’s degree in accounting and finance with 3 to 5 years of experience
1-3 years of experience in Investment Management and Operations
Basic experience on relational databases and administration of systems.
Additional Desirable Qualifications :
Charles River Experience a plus
Trustworthy, reliable, dependable, effective, and efficient
Prefer experience in either compliance or I.T / Computer sciences
Familiarity with either Charles River or SQL a plus
Knowledge, Skills and Abilities :
Ability to work under pressure, in fast pace environment, with short notice, and adjust the priorities of own assignments accordingly
Ability to prioritize work depending on the impact
Highly motivated, independent and dedicated
Strong attention to detail and accuracy
Strong written and verbal communication
Physical Requirements :
Must be able to work at a computer for extended periods of time
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 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 covers 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)
Onsite fitness center, recreation center, and cafeteria
Cricket grounds and gymnasium
Health Center with doctor availability
Tuition Assistance Program
HDFC ATM on the campus