Senior Compliance Analyst

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! What is the Intermediary Due Diligence (IDD) team responsible for?

• The Intermediary Due Diligence (IDD) team is a crucial component of the International Intermediary Oversight (IIO) Department. The IDD team's work is integral to ensuring compliance and maintaining the integrity of the intermediary oversight process within the organization

• IDD is now looking for a team player with strong client service and analytical skills as well as capability to support/establish processes since new regulations and regulatory updates will continue to have an impact on the financial industry and its participants. A successful candidate will contribute to the development and implementation of a robust distribution & marketing oversight framework covering over 1000 intermediaries worldwide. The Consultant role will require work in international teams and with global clients #MID_SENIOR_LEVEL

What are the ongoing responsibilities of Senior Compliance Analyst responsible for?

• Day-to-day management of the due diligence process of all types of intermediaries
• Coordinate and execute initial, ad-hoc, and periodic due diligence reviews for all types of intermediaries
• Communicate with clients over phone, email and video to gather documents and collect information about their activity, attend virtual on-site meetings, prepare agenda and minutes and follow up with clients on the outstanding actions
• Review internal and external delegates on a regular basis to ensure that intermediaries are adhering to the contractual arrangements. Building and fostering relationships with key business partners, often at senior level to develop and maintain mutual understanding of regulatory requirements
• Enhancing the operation of and contributing to the evolution of the distribution & marketing & AML oversight framework
• Contribute to/ run ad-hoc projects and initiatives, collaborating and engaging with various internal functions across various regions
• Support relationship with external providers for Due Diligence (UME) and KYC
• Providing operational expertise and efficiencies to support the Intermediary Oversight and Sales teams across various regions
• Provide insights to the distribution team to improve the client experience and support sales or distribution initiatives
• Work closely with Compliance, Legal and AML teams during implementation or changes resulting from new regulation, existing CSSF rules or process improvements to understand impact to existing operations
• Oversee maintenance of policies and procedures to ensure all key documents are robust under scrutiny
• Asist in audits/ regulatory requests

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

• At least 5 years’ experience within the asset management/ investment funds industry, ideally with experience in KYC/AML
• Relationship management, collaboration with experience of positive, challenging interactions with Senior stakeholders
• Candidate should have evidence of using effective planning and organizing skills in a previous role
• Outstanding written and verbal communication skills in English. Knowledge of other language would be an asset

Desirable Skills:

• Proven to take initiative in a changing/growing environment
• Ability to engage at all levels, to develop and maintain relationships with internal and external stakeholders and work with them to navigate challenges and resolve issues
• Ability to formulate and implement solutions and respond to inquiries with minimal guidance, structure and supervision
• Excellent attention to detail and analytical skills – the ability to challenge and question in a constructive manner

Work Shift Timings - 2:00 PM - 11:00 PM 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 Hear more from our employees

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 or adjustment to search for or apply for one of our positions, please send an email to [email protected] . In your email, please include the accommodation or adjustment 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.