Senior Compliance Analyst – Personal Investments-839371

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 Global Compliance group responsible for?

Global Compliance is responsible for administering various key global policies relating to personal trading and conflicts of intertest for U.S. and foreign registered investment advisers.

What is the Senior Compliance Analyst – Personal Investments responsible for?

The Senior Compliance Analyst is responsible for supporting the administration of and ensuring compliance with various global policies through ongoing surveillance, and periodic and annual reviews. Performing ad hoc reviews as requested by senior management. Serving as a point of contact for audits of these policies and for questions related to various global policies from employees at all levels.  The development of the web-based training program, and the execution of the annual certification process of various global policies.

What are the ongoing responsibilities of a Senior Compliance Analyst?

  • Conduct periodic, annual, and ad hoc compliance reviews.
  • Review, evaluate, recommend, and implement efficiencies of existing processes, and participate in the development and implementation of new processes.
  • Prepare monthly, quarterly, and annual violation reports for sub-advised Fund Boards.
  • Work with Chief Compliance Officers, Chief Investment Officers, legal contacts and employee leaders on the vetting and approval of private investments, outside activities, directorships, and other potential conflicts.
  • Ensure the assignment of correct designations to employees under various global policies through the distribution of reminders/communications, review of designations, and conversations with leaders.
  • Analyze errors, violations, and potential personal trading conflicts making appropriate sanction recommendations to the Director and Chief Compliance Officer, ensuring a resolution of all cases issuing sanctions as required.
 What ideal qualifications, skills & experience would help someone to be successful?

  • A bachelor’s degree or equivalent experience
  • 5-7 years’ experience in mutual fund and/or asset management compliance, personal trade or conflict of interest surveillance, or internal audit, involving risk mitigation or identification, development of control monitoring processes or training programs, or compliance testing
  • Knowledge of the Investment Company Act of 1940 and the Investment Advisor Act of 1940, excellent knowledge of Rule 17j-1 under the Investment Company Act of 1940, Rule 204A-1 under the Investment Advisers Act of 1940, and best practices for monitoring conflicts of interest
  • Excellent interpersonal, presentation, written and oral communication skills
  • Ability to identify compliance gaps and work independently to develop potential solutions
  • Ability to liaise with all levels of management
  • Excellent time management and multi-tasking skills
  • Strong attention to detail and analytical skills
  • Ability to work both independently and as a core team member
What makes Franklin Templeton 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:
  • Three weeks paid time off the first year
  • Medical, dental and vision insurance
  • 401(k) Retirement Plan with 75% company match on your pre-tax and/or Roth contributions, up to the IRS limits
  • Employee Stock Investment Program
  • Tuition Assistance Program
  • Purchase of company funds with no sales charge
  • Onsite fitness center and recreation center*
  • Onsite cafeteria*

*Only applicable at certain locations

We believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and supporting our communities. An emphasis on corporate citizenship is embedded in our culture and values, and is an important element of how we achieve success.
We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals. Take some time to, meet some of our people, and see what it means to say, “I AM Franklin Templeton”.
Franklin Templeton is an Equal Opportunity Employer. We are committed to equal employment opportunity for all applicants and existing employees and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation. We invite you to visit us at http://www.franklintempletoncareers.com/ to learn more about our company and our career opportunities.
Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation to search for, or apply for, one of our positions please send an email to accommodations@FranklinTempleton.com. In your email, please include the accommodation you are requesting and the job title and job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only requests for accommodations will receive a response.
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