What is the Senior Compliance Analyst - Global Compliance - Financial Crime is responsible for?
* The Senior Compliance Analyst performs tasks that require a solid understanding of applicable rules and regulations. This role independently performs tasks with moderate scope and complexity in the areas of monitoring, testing, and reporting with moderate supervision. The Sr. Compliance Analyst should be able to recognize compliance matters that require further escalation to management and provide potential solutions to address these matters.
* Scope: This role completes more complex tasks, with moderate supervision, and provides guidance to junior level staff, where applicable.
What are the ongoing responsibilities of the Senior Compliance Analyst?
* We are currently seeking an experienced professional to join the Compliance Review Team (CRT).
* Sitting in the second line of defense, CRT performs thematic reviews of targeted regulatory risk areas. Our work is informed by periodic compliance risk assessments facilitated by CRT with compliance officers globally.
* CRT is responsible for providing independent oversight activities across FT's investment advisers and associated service providers globally. CRT seeks to provide targeted assurance that the business is operating in line with relevant laws, regulations, codes and where relevant FT's Global Compliance policies and procedures.
* This is a senior professional role in a dynamic growing team. You will be responsible for developing, timely execution, and report writing for thematic monitoring reviews. As a senior in the team there may also be opportunity for you to guide and mentor more junior team members and guest testers from the broader Regulatory Compliance team. This role requires excellent relationship building skills as CRT has strong partnership with regulated Compliance Officers globally as well as management in first and third line of defence.
* 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., Conducting timely second line thematic compliance reviews within an agile annual plan.
* Testing adequacy of the control environment within key business and product areas to strengthen FT's response to regulatory risk.
* 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.
* May participate in CRT's periodic stakeholder collaboration meetings.
* Assist with the development of more junior testers within CRT or guest testers within the wider Regulatory Compliance team., As part of our commitment to fostering a diverse and inclusive work environment, we welcome applicants with flexible working arrangements in their current roles or those seeking a flexible working pattern. We encourage you to communicate any preferences for flexible working so that we can consider this during our hiring process. Additionally, returners - individuals who have taken a break from work - are also encouraged to explore our job opportunities.
As a registered UK Disability Confident Committed Employer, we encourage you to disclose if you consider yourself to have a disability as part of your application. This information enables us to provide the necessary support and leverage your unique talents effectively. 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 accommodations@franklintempleton.com. 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 requests for arrangements will receive a response.
* Good experience of monitoring and testing within financial services.
* Understanding and interest in the activities of asset management business lines and associated regulatory compliance risks.
* Strong interpersonal skills with the ability to communicate effectively at all levels and to engage with senior FT staff within business units.
* Excellent written and verbal communication skills.
* Flexible worker with ability to work under pressure and deliver against tight timelines.
* Good understanding and experience of regulations pertaining to global asset management business. Knowledge of US / EU / APAC regulatory environment would be advantageous.
* Professional certification (CA, MBA) in a related field a bonus.
* Experience of data analytics / data visualization is desirable.
Experience our welcoming culture and reach your professional and personal potential! Building teams with diverse skills, backgrounds, and experiences has always been important to us. Cultivating an inclusive culture where employees feel safe to share their voices is not only beneficial for our people, but also drives innovation and enables us to deliver better client outcomes. So, no matter your interests, lifestyle, or background, there's a place for you at Franklin Templeton. We will provide you with tools, resources, and learning opportunities to help you excel in your career and personal life.
At Franklin Templeton, we're advancing 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 provide opportunities to help you reach your potential while helping our clients reach theirs.