Sr. Compliance Analyst - Global Compliance – German/English fluent

  • Competitive
  • Frankfurt am Main, Hessen, Germany
  • Permanent, Full time
  • Franklin Templeton Investments
  • 21 Sep 17

Sr. Compliance Analyst - Global Compliance – German/English fluent

The role is available in either our Frankfurt or Poznan/Warsaw or Vienna Office.

The Senior Compliance Analyst is responsible under the direct supervision of his or her manager, for assisting senior management to ensure that each regulated entity and its branches in the so-called DACH-Region (Germany, Austria and Switzerland) adhere to and operate within its specific license requirements, as well as the ongoing regulatory compliance obligations of local regulatory bodies. He/she will independently perform compliance monitoring activities and will assist the Compliance Manager in Germany in carrying out his/her duties relating to the compliance and MLRO function for its MiFID-licensed activities.
This includes preparation of compliance reports, risk assessment of business, carrying out monitoring, answering day to day compliance questions to business, or regulators and supporting training and advice on local regulatory development.

Tasks and Responsibilities:
- Monitoring and analyzing ongoing regulatory requirements to ensure that policies and procedures are compliant
- Conducting desk-based compliance monitoring and testing to provide assurance of compliance with applicable laws, regulation, best practice and firm standards
- Providing compliance services to the internal departments
- Reviewing marketing material and providing guidance to the Sales & Marketing departments in Germany, Austria, Switzerland and other European countries
- Retaining locally stored compliance records and related documentation
- Assisting the local senior management in day-to day issues, projects, business development issues
- Participating in the implementation of regulatory projects e.g. MiFID II
- Working closely with the International Compliance department in EMEA and APAC, risk management, internal audit, the EMEA investment controlling group, fund accounting, TA, and Legal
- The ideal candidate would demonstrate the potential to take on the registered Compliance Officer and Money Laundering Reporting Officer role in the medium-term

Requirements and Expectations:
- relevant degree e.g. in Economics, Finance or Law, or other relevant professional qualifications (qualified banker etc.)
- 1-5 years experience in a compliance role within the financial service industry, ideally with a focus on asset management
- Solid knowledge of the German regulatory environment for investment funds/firms
- Strong analytical and problem solving skills
- Ability to communicate in a clear, structured and effective manner
- Very well organized self-starter able to prioritize and manage several projects/assignments at a time
- Strong team player and able to work in global multicultural environment with numerous virtual interactions
- Fluency in English and German. Any other language would be a considered an asset
- Proficient in MS Office applications such as Word, Excel, PowerPoint

A limited amount of travel may be required.

We thrive in a dynamic culture and offer an opportunity for you to maximize your potential and we are committed to offering a competitive compensation package as well as exceptional benefits program.

Please apply for this position through our website ( ) together with a detailed CV in English, references and your salary expectation.