Senior Compliance Analyst

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Franklin Templeton Investments
  • 20 Jul 18 2018-07-20

Senior Compliance Analyst

At Franklin Templeton Investments, we are dedicated to delivering strong results and exceptional service to clients, team members and business partners. Over 9,000 employees working in 60 offices around the world are dedicated to servicing investment solutions for our clients in more than 150 countries. For over 70 years, our success has been a direct result of the talent, skills and persistence of our people.

What is the Global Compliance group responsible for?

The purpose of Global Compliance is to assist Franklin Templeton's boards of directors, senior management, and business unit leaders to effectively manage the compliance risks of Franklin Templeton ("FT"), its subsidiaries and respective functional business units. Compliance risk is defined broadly as the risk of legal or regulatory sanctions, material financial loss, or loss of reputation a company may suffer as a result of its failure to comply with laws, regulations, rules, related self-regulatory organization standards, and codes of conduct applicable to its activities.

We are looking for a Senior Compliance Analyst to join our Global Compliance team in Hong Kong reporting to the Head of Compliance in Hong Kong. The senior compliance analyst will support such efforts by handling all Hong Kong licensing related matters, reviewing marketing materials, dealing in investment compliance breaches and liaising with regulators, custodian or trustees where deemed necessary. This role will also develop and implement a compliance monitoring program for FT's business units to ensure that their activities comply with all pertinent legal and regulatory requirements as well as FT's internal policies and procedures. This role will have opportunities to work with other members within International Compliance Team across EMEA and APAC on various compliance projects and initiatives to support our business partners

What are the ongoing responsibilities of this position?

  • Provide supervision on daily licensing-related matters, including preparing applications for individuals and filing annual returns to ensure compliance with local requirements
  • Handle investment compliance breaches, including preparing breaches reports to regulators, custodians and/or trustees, recommending and monitoring the preventative measures to be taken for the breaches
  • Compile regulatory compliance reports to regulators, auditors, clients and/or trustees
  • Prepare compliance reports and certifications; and
  • Liaise with regulators such as Securities and Futures Commission and Mandatory Provident Fund Schemes Authority
  • Design and perform preliminary local compliance risk assessments
  • Implement compliance monitoring programs in a timely and efficient manner
  • Analyze and report forensic testing results; and
  • Update local compliance manuals, policies, and procedures where appropriate.
  • Review marketing materials and financial promotions to ensure adherence to applicable regulatory requirements and industry best practice.
  • Participate in ICT's projects and initiatives, other business projects to support our business partners.

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

  • A University degree
  • At least 6 years relevant experience in the financial services industry, preferably gained through practical experience in asset management companies and/or regulatory authorities
  • Knowledge of SFC and MPFA regulations and other regulatory requirements in Hong Kong
  • Knowledge of regulator and/or asset management firm operating in Hong Kong preferable
  • Experience with a regulatory agency
  • Proficient in Microsoft Office (essential) and fund management systems (preferable)
  • Solid analytical skills and excellent attention to detail
  • Proactive and independent
  • Ability to prioritize multiple tasks well with have good time management; and organisational skills
  • Basic presentation skills (e.g. staff meetings, multi-functional meetings, management meetings)
  • Works with minimal supervision to solve problems of moderate scope and complexity.
  • Good command of written and spoken English and Chinese including Mandarin
  • Occasional overseas travel will be required

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.

We believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and supporting our communities . An emphasis on corporate citizenship is embedded in our culture and values , and is an important element of how we achieve success.

We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals. Take some time to, meet some of our people , and see what it means to say, " I AM Franklin Templeton ."

Franklin Templeton Investments values diversity in its workforce and welcomes employees from different backgrounds, generations, capabilities, cultural identification, sexual orientations, and gender expression, in addition to other attributes that contribute to a truly diverse and inclusive community.

Please apply with your full resume via the link below:

We regret that only short-listed candidates will be notified.