Compliance Business Analyst

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 Compliance Business Analyst in the Investment Compliance group responsible for?

 

This role would require the Analyst to assist on Pre-Trade/Batch Compliance, Client Certifications and other tasks involving review, research and analysis. The analyst would monitor 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. Onboard new clients for the Investment Compliance Team by comprehending their investment objectives, interpreting their mandates, encoding, verifying the restrictions, and reporting any discrepancies. Maintain the restricted securities list at the security/issuer level to ensure compliance with trading restrictions put in place by clients or portfolio managers. Routine audits will also be performed to ensure the integrity of electronic archives, analyst assignments, as well as various forms of information retention.  Additionally, the position will involve different forms of data maintenance specific to account status tracking, correspondence filing as well as involvement in the administration of the department’s virtual information repository. The position would also require the analyst to have a good understanding of complex securities, fixed income, and equity products. The role would also require the analyst to possess good communication skills.

The analyst would be required to exhibit knowledge of various aspects of financial markets especially with regards to asset classes, trading fundamentals etc. along with behavioral dexterity to manage professional rapport while working with various teams.

 

 

What are the ongoing responsibilities of a Compliance Business Analyst?

 

 

 

Duties / Responsibilities

 

Perform manual checks and analyses of portfolio and benchmark holdings, review historical transactions etc. for restrictions which are not automated in Charles River, including research on other systems such as Bloomberg and MSCI. Post-Trade Analysis: Conduct timely and accurate compliance analysis of portfolio holdings, composition and historical transactions to verify compliance with applicable investment exposure and activity limitations stemming from regulatory requirements, client mandate, applicable policies, etc. Pre-Trade Analysis: Investment Compliance personnel liaise directly with traders and portfolio teams at the point of order entry to ensure compliance with applicable investment limitations / restrictions. Exceptions generated via the automated pre-trade compliance review (Charles River) are reviewed for further investigation, escalation, etc. Certifications for Sub-advised/Institutional Clients Assist in client/ board reporting preparation. Ensure documentation and procedures are maintained and kept up to date. Team administration tasks Other tasks involving review, independent research and analysis. •Assess current controls and processes, with the intent to optimize and improve efficiencies and reduce risk of errors.  

 

 

 

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

 

 

 

Education and Experience

 

MBA with Finance from premium business schools Exceptional candidates who have completed their graduation from premium colleges with excellent academics can be considered. Work experience of 2-5 years preferred. years’ experience Experience with Financial Services/Asset Management Industry, Mutual fund, Stock broking (preferably in portfolio/investment compliance) Good in Microsoft Excel and handling different applications. (Knowledge of Macros or automation tools will be added advantage) Knowledge of Charles River or Aladdin –is a bonus. Have good understanding of complex securities, ETFs, fixed income, equity/private equity, MUNI’s and Derivative products. Possess excellent communication skills as the analyst needs to interact with Global counterparts/ Portfolio Managers / Traders daily. Exhibit knowledge of various aspects of financial markets especially with regards to asset classes, trading fundamentals etc. along with behavioral dexterity to manage professional rapport while working with various teams/departments. Knowledge, Skills, and Abilities 

 

Ability to collaborate with teams from various locations and multi-task. Strong interpersonal skills and a talent for building trusted relationships 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 time management skills and ability to handle multiple tasks under time pressure. Strong attention to detail and accuracy. Able to work with minimum supervision. Excellent written and oral communication and presentation skills. Must be willing to work in US shifts for real-time support if required.

 

Licenses and Certifications

Certifications in Derivatives & Mutual funds (desirable)

           

Additional Desirable Qualifications 

CA (Inter), CFA Level1-2, FRM Level 1 Certification course in derivatives or financial markets. Charles River or Aladdin experience a plus.  

 

Problem Solving and Decision Making 

Ability to work independently & pro-actively look for a solution. Strong time management skills and ability to manage multiple tasks together.

Work Timings: 4.30 PM to 1.30 AM and 5.30 PM to 2.30 AM (Nov to Mar)

Work Location: Hyderabad

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 benefits 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
• Library
• Health Center with doctor availability
• HDFC ATM on the campus

Franklin Templeton Investments is an Equal Opportunity Employer.