Compliance Business Analyst (CFA, Pre/Post Trade Compliance Analysis)

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!

• 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 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. 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 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 Compliance Business Analyst?
Duties / Responsibilities

• 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/ Post trade compliance analysis
• Certifications
• Project management
• Manual Tasks
• Team Building activities and helping Supervisor/ Manager with MIS tools.
  

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

• Bachelor in Commerce with 2 – 5 year’s experience
• Experience with Financial services Industry, Mutual fund, Stock broking (preferably in portfolio/investment compliance)
• Good in Excel and handling different application (Macro/ Access knowledge will be added advantage)
• Knowledge of Charles River Application - preferable
  
• Knowledge of derivatives and trade flows – Mandatory
• Knowledge of Canadian regulations preferable.
  

Knowledge, Skills, And Abilities

• Ability to work with teams from different locations and experience to multi-task
• Strong interpersonal skills and a talent for building trusted relationship 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 attention to detail and accuracy
• Excellent written and oral communication and presentation skills
• Must be willing to work US/ Canada shifts for real-time support if required.
  

Licenses And Certifications

• Certifications in Derivatives & Mutual funds (desirable)
  

Additional Desirable Qualifications

• CA (Inter), CS (Inter), CFA Level1-2
• Certification course in CRD, SOX, 1940 Act, European regulations
• Charles River Experience a plus
  

Problem Solving And Decision Making

• Ability to work independently & pro-actively look for solution
• Strong time management skills and ability to handle multiple tasks under time pressure.
  

Job Level - Individual Contributor

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Shift Work Timings - 3:30 PM - 12:30 AM / 4:30 PM - 1:30 AM IST
Experience our welcoming culture and reach your professional and personal potential!
Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.
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By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have them covered.
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 cover 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)
• 12 weeks Paternity leave
• Onsite fitness center, recreation center, and cafeteria
• Transport facility
• Child day care facility for women employees
• Cricket grounds and gymnasium
• Library
• Health Center with doctor availability
• HDFC ATM on the campus
  

Learn more about the wide range of benefits we offer at Franklin Templeton
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to 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.
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, the job title, and the 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 accommodation requests will receive a response.