Senior 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!

 What is the Senior Compliance Analyst - Global Compliance - Financial Crime is responsible for? 

• We are currently seeking an experienced professional to join the Global Regulatory Compliance Monitoring Team (GRCMT). Sitting in the second line of defence, GRCMT conducts regulatory compliance reviews of high risk areas identified during period risk assessment exercises. Reviews are thematic in nature and may involve use of analytics to support our findings and recommendation. GRCMT carries out reviews across FT’s investment advisers and associated service providers globally and seeks to provide assurance that the business is operating in line with relevant laws, regulations, codes and FT’s Global Compliance policies and procedures#MID_SENIOR_LEVEL

• This is a senior professional role in a dynamic team. You will be responsible for developing, executing, and reporting on reviews. There may also be opportunity for you to guide and mentor more junior team members.

What are the ongoing responsibilities of the Senior Compliance Analyst?

• This role requires excellent relationship building skills as GRCMT has strong partnership with regulated Compliance Officers globally as well as management in first and third line of defence. In addition, we are looking for an innovator who can help continuously transformation and improve GRCMT review activities. We are looking for a forward-thinking professional who can assist in embedding and expanding our use of analytics and technology adoption.

Key Responsibilities:

• To conduct second line compliance reviews as per the annual review plan.

• To test the adequacy of controls in place within the business and to identify potential and actual breaches. 

• Prepare reports to inform key stakeholders of the outcome of review work, including determining materiality of findings and gathering owners/actions.

• Contribute to the continuous improvement of GRCMT’s review approaches.

• Assist with the development of more junior testers within GRCMT.

• Participating in regular touchpoint meetings with compliance officers around the world.

What ideal qualifications, skills & experience would help someone to be successful?

Qualifications / Requirements:

• Good experience of monitoring and testing in a second line of defence in financial services

• Good understanding and experience of regulations pertaining to global asset management business. Knowledge of US / EU / APAC regulatory environment is a bonus.

• Professional certification (CA, MBA). Postgraduate in accountancy or related field a bonus.

• Understanding and interest in the activities of asset management business lines and associated compliance risks.

• Experience of data analytics / data visualisation in the context of monitoring is desirable

• Strong interpersonal skills with the ability to communicate effectively at all levels and to engage with senior FT staff within business units.

• Excellent written and verbal communication skills.

• Previous experience of Compliance Monitoring, Internal Audit reviews is highly desirable.

• Organisational, planning, interpersonal, supervisory, analytical, problem-solving, decision-making, and team building skills, flexible and agile approach.

• Flexible worker with ability to work under pressure and within tight timelines.

Work Shift Timing - 2:00 PM - 11:00 PM IST