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.
The Compliance Officer either serves as the main point of contact for a regulator and/or serves as owner/subject matter expert for one or more compliance functions. The role requires an extensive understanding of applicable rules/regulations. This role will make decisions, but will need to use judgment to escalate certain matters to Global Compliance management for further guidance.
This role requires self-motivation and provides guidance to junior level staff, where applicable. If the individual serves as the named Compliance Officer for a regulated entity, it carries a level of risk for the individual given the regulatory requirements of a Compliance Officer.
Either serves as the main contact for the local regulators, including serving as designated Money Laundering Reporting Officer (MLRO), or is the owner of a specific process area(s) within the Global Compliance department. Where serving as the designated Compliance Officer as required by regulation, manages all activities to ensure the Compliance Officer's activities align with local regulatory requirements
Provides guidance to business unit management on compliance risk issues and compliance policies and procedures of a local nature. Serves as lead compliance support to local business units in compliance training
Performs compliance monitoring and testing, including review of marketing materials, where applicable. At times will be required to escalate matters to senior Global Compliance management
Leads efforts in special projects
Completes risk assessments and develops necessary compliance monitoring programs
Prepares various reports and presentations with some guidance from senior Global Compliance management
Coordinates regulatory exams and responses to regulatory inquiries and/or findings with guidance from senior Global Compliance management
Qualifications Ideal candidates will have:
EDUCATION AND EXPERIENCE
4 year degree or equivalent business experience
At least 7 years industry experience and/or 7 years progressive Financial Services compliance experience
LICENSES AND CERTIFICATIONS
Compliance Officer requirements as identified by AMIB
ADDITIONAL DESIRABLE QUALIFICATIONS
Compliance, internal audit, or risk management certification desirable
KNOWLEDGE, SKILLS, AND ABILITIES
Proficient communication skills, written and verbal.
Ability to develop solid partnerships with the business units
Ability to manage several projects/assignments at a time.
Superior analytical skills.
Independently stay abreast of company procedures, products, and activity; and adhere/respond to established time frames and schedules.
Superior working knowledge of local regulatory framework, regulatory examination process and applicable rules and regulations.
Solid understanding of the Financial Services industry, specifically regarding asset management of mutual funds and institutional business.
Solid leadership and management abilities.
Fluency in English on top of local language
PROBLEM SOLVING AND DECISION MAKING
Works with minimal supervision and exercises independent judgment consistent with departmental guidelines and organizational objectives.
Provides business partners with the necessary technical guidance to perform their job responsibilities.
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. For a listing of total rewards in your region, visit our locations page for more details.