Senior Compliance Analyst

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.

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 seeks 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.

What Is The Senior Compliance Analyst Responsible For

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.

What Will Help You Be Successful In This Role

• 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.

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.

We will provide you with tools, resources, and learning opportunities to help you excel in your career and personal life. Hear more from our employees. We want our employees to be at their best. By joining us, you will connect with a culture that focuses on employee well‑being and provides multidimensional support for a positive and healthy lifestyle.

We understand that benefits are at the core of employee well‑being and may vary depending on individual needs. Whether you need support for staying physically and mentally healthy, saving for life's adventures, taking care of your family members, or making a positive impact in your community, we aim to have you covered.

Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and existing employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.

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.