Senior Compliance Analyst

3 weeks ago

Edinburgh, Edinburgh, United Kingdom Franklin Templeton Full time

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.

What is the Senior Compliance Analyst - Global Compliance - Financial Crime 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.

Key Responsibilities:

  • 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.

What ideal qualifications, skills & experience would help someone to be successful?

  • 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.
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