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 are currently looking for qualified candidates to join our winning team.
Senior Compliance Analyst - Role Description Global Compliance is an independent risk management function reporting to Franklin Resources' (the Firm) General Counsel. Its role is to assist senior management to effectively manage the compliance risks faced by the Firm. In doing so, it provides proactive advice on the practical application of regulation, monitoring of the conduct of the business, and promotion of an effective, embedded compliance culture throughout the Firm. Global Compliance Canada (GCC) is the group within Global Compliance responsible for compliance in Canada.
The Sr. Compliance Analyst performs tasks that require a solid understanding of applicable Canadian regulatory rules/regulations, and Firm policies and procedures. This role will support the Chief Compliance Officer and the department's efforts to assist business leaders to manage compliance risk. The role requires an individual with an existing solid understanding of Canadian Securities and Anti-Money Laundering Regulations who can become a subject matter expert and support relevant business unit partners in achieving day-today compliant business practices through collaboration. The individual must have strong analytical skills and a high degree of attention to detail, be skilled at creating process, and operate independently, setting and meeting priorities and deliverables and balancing multiple projects and needs at one time. The role requires strong writing capabilities to draft accurate and concise reporting and guidance, tailored to different audiences. This role independently performs tasks with moderate scope and complexity in the areas of monitoring, testing and reporting with minimal to moderate supervision. The Sr. Compliance Analyst should be able to recognize compliance matters that require further escalation to the Chief Compliance Officer, and provide potential solutions to address these matters. This role also provides guidance to junior level compliance staff, where applicable .
Development and execution of a Canada centric compliance monitoring and testing program, and/or development and execution of action plans for regularly performed compliance oversight programs/tasks. Tasks performed are generally of moderate scope and/or complexity
Provision of routine guidance to business unit partners based on Firm policies and procedures
Participation in risk assessment exercise
Planning compliance reviews, testing and/or monitoring by meeting with business unit management, documenting the control environment, and preparation for the compliance review
Execution of compliance reviews, testing, special projects and/or monitoring compliance of Business Units as requested by compliance management. Reviews include completing the compliance review programs, documenting control weaknesses or inefficiencies, and managing the compliance review within given time frames
Employee Education - Under the direction of the Chief Compliance Officer, prepare and provide presentations to employees regarding relevant policies (i.e. Code of Ethics, insider trading), and legislation (i.e. anti-money laundering, NI 81-102) and communicate any changes to such policies and legislation as necessary
Work with Business Units to draft, update and coordinate policies required to ensure adherence to Regulatory requirements and Firm policies and procedures.
Research impact of new legislation from a compliance perspective.
Qualifications Qualifications:Ideal candidates will have:
Post-Secondary Degree or equivalent experience.
At least 5 years of experience in the mutual fund/investment management industry with related compliance/regulatory background.
Completion of Canadian Securities Course/IFIC MF Course/MF Branch Manager Course.
Excellent communication skills.
Proven ability to multi-task in a fast-paced environment.
Excellent organizational skills, attention to detail, flexibility and commitment to follow through.
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. Highlights of our benefits include:
* Flexible medical, dental and vision insurance * Corporate Pension Plan * Employee Stock Investment Program * Purchase company funds with no sales charge * Competitive vacation package that includes three annual personal days * Company paid short-term and long-term Disability Insurance * Education assistance
Franklin Templeton Investments Corp. is committed to providing accommodations for persons with disabilities. If you require accommodation, we will work with you to meet your needs.
We invite you to visit us at www.franklintempletoncareers.com to learn more about our company and our career opportunities.