Senior Compliance Analyst – Trading

Company Name: Franklin Templeton Investments

Job Contact: Apply on company website

Contact Email: N/A

Job Location: Short Hills, NJ

Date: 10/5/2017

Job Description
Franklin Templeton Investments is a leading global investment management organization due to the efforts of our greatest assets - our employees. We have over 9,000 employees working in 60 offices around the world, servicing investment solutions for our clients in more than 150 countries. We believe in our corporate values of putting clients first, building relationships, achieving quality results, and working with integrity. Our people are dedicated to delivering strong results and exceptional service to clients, team members and business partners. For more than 65 years, our success has been a direct result of the talent, skills and persistence of our people. We’re currently looking for qualified candidates to join our team.

Investment Compliance is a front office team which provides compliance services to Investment Management. This is a highly challenging and dynamic role in support of investment management mandates across both fixed income and equity security types. The Senior Compliance Analyst will sit on the trading desk and work directly with the investment professionals in a highly complex global regulatory framework.

The Senior Compliance Analyst represents the Investment Compliance (IC) department and is the primary point of contact with investment management as well as internal and external customers. The Senior Analyst actively monitors all funds and accounts comply with their respective investment guidelines, regulatory requirements and internal controls. Completes and validates compliance for the firm’s board of directors and client certifications. Demonstrates thorough knowledge of Investment Adviser (IA) Policies and Procedures, coordinates and conducts testing outlined in the IA program. Coordinates supervisory support with other locations globally. Additional responsibilities include training, developing and supporting internal departments to ensure processes and controls are understood, documented, robust, and adhered to accordingly. Actively participates in and leads efforts to expand and strengthen the advisor’s capabilities in a continuous effort to maintain consistent repeatable processes in an effort to mitigate risk for clients and the firm.

Responsibilities Include

Portfolio Compliance

Perform daily portfolio compliance functions as outlined in the Charles River Desktop procedures.
Initiate appropriate notification protocol to Senior Management personnel for account breaches, investment restrictions and limits and any/all FTI P&P issues or infractions.
Establish periodic review schedules for funds and accounts based on risk assessment
Review and approve completed compliance analysis for reviews of prospectuses and other investment management agreements
Coordinate and review new account set up (rule writing, testing, data requirement coordination and movement to production)
Coordinate and conduct on-going IA testing as related to portfolio compliance
All daily TDC functions
Continuously evaluate the robustness of control measures and ensure consistent repeatable processes remain intact across all IC locations
Ensure compliance for all funds and accounts as mandated in governing documents.
Assess the effectiveness of IA policies and procedures and work with IC supervisors to create desktop procedures as warranted.
Conduct, guide, review and direct mandated IA testing for IC’s policies and procedures
Ensure all tasks and responsibilities are completed and submitted accurately and within the requested timeframes

Management Reports

Review, approve and ensure all back-end and manual review documentation is stored in the appropriate Document Repository database.
Coordinate and submit relevant board reports and client certifications
Oversee and manage compliance audit request

Relationship Management

Establish and maintain working relationships with business unit heads and their functional leaders
Ensure known issues get resolved
Represent IC and serve in various capacities to communicate priority and provide knowledge base as a subject matter expert
Facilitate and coordinate the participation of N1A and client due diligence meetings.
Identify and implement appropriate compliance training

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