Sr. Portfolio Compliance Analyst

Franklin Templeton Investments
Campo Largo, Brazil
Nov 13, 2017
Nov 16, 2017
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Franklin Templeton Investments is a leading global investment management organization due to the efforts of our greatest assets - our employees. We have over 9,000 employees working in 60 offices around the world, servicing investment solutions for our clients in more than 150 countries. We believe in our corporate values of putting clients first, building relationships, achieving quality results, and working with integrity. Our people are dedicated to delivering strong results and exceptional service to clients, team members and business partners.

For more than 65 years, our success has been a direct result of the talent, skills and persistence of our people. We're currently looking for qualified candidates to join our team.

The Sr. Compliance Analyst monitors compliance with investment restrictions stipulated by a variety of sources including but not limited to Franklin Templeton internal policies, fund documentation, client account guidelines, and regulatory requirements with a primary focus on Latin America. As part of this effort, the Sr. Analyst implements, maintains and continuously improves controls to prevent and detect non-compliance with the aforementioned guidelines.

The Sr. Analyst is responsible for on-going testing of portfolio compliance for accounts managed out of or domiciled in Latin America. This includes implementing and maintaining automated portfolio compliance controls via the automated compliance testing module, conducting pre-trade and post-trade portfolio compliance analysis, and acting as primary point of contact with investment management personnel to verify transactions are in compliance with aforementioned guidelines and investment restrictions.

The Sr. Analyst provides on-going support to Portfolio and Trading, fielding queries, providing advice and continuous real-time support. The Sr. Analyst represents the Investment Compliance team in coordinating communication with other business units, including but not limited to Portfolio, Trading, Operations, Legal and Global Compliance.

Essential duties and responsibilities include:
  • Perform daily compliance testing of assigned portfolios (review trading activity, portfolio composition, etc.) to verify compliance with investment restrictions
  • Review proposed participation in initial public offerings, inter-account transactions and trade error correction to verify compliance with internal policies.
  • Review/improve automated portfolio compliance controls designed to prevent and detect non-compliance with investment restrictions.
  • Review fund disclosure and investment management agreements for new and existing portfolios to verify that testing methodologies are complete and accurate.
  • Perform manual compliance testing as required while documenting and communicating the results of such testing in an efficient manner.
  • Participate in cross-functional efforts with portfolio management; trading and technology as part of the firm's continuous effort to strengthen controls and create efficiencies
  • Participate in department projects, independently representing the team in efforts involving other business units within the organization

Ideal candidates will have:
  • Bachelor's degree preferably in Finance, Economics or Business Administration
  • Progress toward CFA studies preferred
  • At least 4-7 years of related experience in the financial services industry
  • Investment or portfolio compliance experience preferred
  • Fundamental knowledge of the mutual fund industry, specifically asset management and mutual funds
  • Strong working knowledge of local regulations, regulatory examination process and applicable investment guidelines
  • Familiarity with complex derivatives preferred
  • Familiarity with Charles River preferred
  • Strong communication skills, both written and verbal
  • Proficient presentation skills
  • Strong analytical and problem solving skills
  • Ability to develop strong partnerships with internal clients (Portfolio and Trading)
  • Ability to work in a time sensitive environment with multiple priorities
  • Ability to work independently, but can also strive in a team-oriented environment
  • Intermediate Microsoft Excel skills (proficient in formulas, functions, charts, macros)
  • Fluency in English required
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. For a listing of total rewards in your region, visit our Locations page for more details.