About the department:
We are currently seeking an experienced professional to join the Compliance Review Team (CRT) a dynamic, innovative team within Franklin Templeton’s Global Compliance department. Sitting in the second line of defence, CRT is responsible for providing independent oversight activities across Franklin Templeton’s investment advisers and associated service providers globally. The team seek to provide targeted assurance that the business is operating in line with relevant laws and regulations. CRT is responsible for identifying and assessing regulatory risk areas through an agile program of periodic compliance risk assessments and by performing thematic reviews of targeted regulatory risk areas.
This is a senior professional role in a dynamic growing team and requires a solid understanding of applicable rules and regulations as pertains to the risk area(s) under review. The role requires excellent relationship building skills as the CRT has strong partnerships with regulated Compliance Officers globally and are required to develop strong partnerships with key stakeholders within the business both regionally and globally.
How you will add value:
Developing comprehensive scope and testing programs for thematic monitoring reviews within an agile risk assessment plan.
Testing adequacy of the control environment within key business and product areas to strengthen FT’s response to regulatory risk.
Recognising compliance matters that require further escalation to management and providing potential solutions to address these matters.
Agreeing findings with business management and preparing formal reports to inform key stakeholders of the outcome of reviews and agreed actions.
Contributing to the continuous improvement of CRT’s monitoring and reporting approaches.
Contributing to the delivery of strategic projects and initiatives as part of ongoing programme enhancements within the Regulatory Global Compliance department.
As a senior in the team there may also be opportunity to guide and mentor more junior team members and guest testers from the broader Regulatory Compliance team. In addition, we are looking for an innovator who can help continuously transform and improve CRT oversight activities and who can assist in embedding and expanding the use of analytics within our thematic reviews.
Prior experience of monitoring and testing within financial services
Understanding of the asset management sector and associated regulatory compliance risks.
Good understanding and experience of regulations pertaining to global asset management business. Knowledge of US / EMEA / APAC regulatory environment would be advantageous.
Excellent written and verbal communication skills with the ability to communicate effectively at all levels
Strong analytical and problem-solving skills with ability to work under pressure and deliver against tight timelines.
Ability to work independently as well as with a range of senior managers and peers globally.
Professional certification (CA, MBA) in a related field a bonus.
Experience of data analytics / data visualization is desirable.
Work Shift Timings - 2:00 PM - 11:00 PM IST