Senior Portfolio Compliance Analyst

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • Franklin Templeton Investments
  • 21 Jun 18 2018-06-21

Senior Portfolio 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.

We are looking for a Senior Portfolio Compliance Analyst to join the team in either Hong Kong or Melbourne. The analyst implements, maintains and continuously improves controls to prevent and detect non-compliance with guidelines such as but not limited to Franklin Templeton Internal Policies, fund documentation, client account guidelines, and regulatory requirements. This role also provides guidance, instruction, and direction to compliance analysts globally to implement and maintain effective and efficient controls to support the efforts of Portfolio/Trading to comply with regulatory requirements, client mandates and internal controls. The Analyst will also provide quality control support to the Supervisor by reviewing the result of testing completed by compliance analysts. Additionally, the analyst takes on a project lead role to actively research and propose solutions to complex issues with a focus on leveraging technology. The Analyst may also provide operational support to other Global Investment Adviser Compliance locations as required and instructed by IC Management.

What are the ongoing responsibilities of this position?

  • Perform daily compliance processes outlined in Portfolio compliance Charles River procedures, using Charles River and various data management programs on a pre trade and batch basis. This includes, but is not limited to:
    • Pre-trade; review, research and close pre-trade alerts. Review relevant restrictions and pre-clear accounts for eligible to participate in IPO and inter-account transactions follow the process outlined in the Trade Error policy when applicable
    • Batch; review and research compliance alerts, warnings and data exceptions. Perform required manual calculations and escalate the appropriate notification protocol to IC management and investment management personnel of any potential violations
  • Provide guidance, instruction, and direction to compliance analysts globally for the purpose of implementing and maintaining effective and efficient controls to support the efforts of Portfolio / Trading to comply with regulatory requirements, client mandates and internal controls
  • Perform detailed compliance analysis of all rules in Charles River. Review prospectuses and other investment management agreements and validate the revised restrictions are updated in the Charles River System. Perform manual calculations required to ensure compliance. Assist with the setup of new accounts
  • Special projects as assigned by supervisor(s), including the coordination/facilitation of audit request, data management, training, and system applications and processes for all IC locations. Collaborate with IC to establish sound preventive, detective and corrective measurements
  • Review and assess existing manual and automated processes in an effort to maximize the potential while mitigating risk and maintain the same level of integrity
  • Investment Adviser Compliance Testing
    • Review policies and procedures owned by IC and assess effectiveness
    • Test policies and procedures in an effort to increase efficiencies and mitigate potential risk

What qualifications, skills and experience would help someone to be successful?
  • Bachelor's degree (finance, economics, business administration) or equivalent experience.
  • 3-5 years of mutual fund compliance experience
  • Experience with Charles River Compliance system
  • Advance analytical skills with the ability to resolve simple and complex issues quickly and accurately
  • Advanced Microsoft Excel skills (proficient in formulas, functions, charts, macros)
  • Strong oral and written communication, including ability to clearly formulate positions on issues and articulate solutions
  • Strong interpersonal and negotiation skills
  • Ability to perform multiple tasks in a fast paced, continually changing environment
  • Ability to exercise independent judgment consistent with department guidelines
  • Ability to make independent decisions related to day to day job duties
  • Ability to independently solve complex problems and develop solutions to resolve problems
  • Flexibility to work during non-working hours and bank holidays is 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.

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