Compliance Analyst

JOB DESCRIPTION 

Compliance Analyst-839718 
 
 At Franklin Templeton, everything we do is focused on one thing – delivering better client outcomes.  We do that by partnering closely with our clients, assessing their strategic needs, and identifying the solution or solutions that can meet the challenge.  Over 12,000 employees working in 34 countries around the world are dedicated to servicing investment solutions for our clients in more than 160 countries. For more than 70 years our success has been a direct result of the talent, skills and persistence of our people, and we are looking for qualified candidates to join our team.

What is Compliance Analyst for GSS Risk & Control Americas group responsible for?

• Work with team members and GRC management to deliver services that support the TA’s compliance needs.  Support GRC in their role as liaison to all areas within the TA and outside of the TA to support compliance activities.  Perform analysis related to compliance rules, participate in discussions and consult with Global Transfer Agent (TA) team members to support TA employees and business units on compliance needs.  Assignments are of a low-medium level of complexity where initiative and some independent judgment are required, and work is expected to be performed with direction from senior team members and management.  

What are the ongoing responsibilities of Compliance Analyst?

• Work closely with Global Risk and Control Group and TA business units to understand needs, trends, challenges, and opportunities to propose solutions and alternatives that support GRC and TA business objectives.  Work to gain a high level of knowledge of TA and divisional infrastructure and business needs by continually developing and improving client relationships and increasing knowledge of operational activities within TA.  Participate in compliance projects and initiatives to support TA products and services in order to mitigate risk and increase regulatory compliance.
• Work with senior team members or leaders to gain a high level of knowledge of one or more of the following rules and regulations depending on focus:  SEC, NASD, IRS, DOL, state and federal laws.  With senior team members or leaders, analyze, document and communicate some fundamental regulatory rules to TA business units and business partners and work toward gaining understanding of more complex rules.  Work with team members to analyze and communicate how those rules affect the operations of those areas and the customer.  Keep abreast of new regulatory trends and rules and communicate with GRC and TA business units when appropriate in order to maintain a high level of awareness of compliance rules within the TA.
• Assist in gathering information for external and internal audits or regulatory filings and respond to inquiries involving TA compliance topics.  Audits and filings may include SAS70, IRS, DOL, SEC, NASD, OTC or other applicable regulatory agencies.
• Research and analyze some fundamental retail retirement plan compliance issues and consult with team members, GRC leaders and TA employees regarding these issues.  Thoroughly communicate options and optimal resolution in order to maintain plans’ qualified status or compliance with retirement related rules and regulations.  Some or all communications may need to be reviewed by senior team members or GRC leaders.
• Work with P&P team members to develop new policies in response to legislative or plan document changes in areas of the employee’s current focus.  Review procedure changes relevant to the employee’s compliance focus in order to ensure consistency with current law, plan documents and fund prospectuses.
   

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

• Degree or equivalent. 2 -5 years of work experience into Compliance analyst. Exposure to internal controls/SOX/ internal audit will be preferred. Knowledge of advanced excel and regulatory reviews will be an added advantage.
• Excellent verbal and written communication skills
• Strong analytical, research, investigative and problem-solving skills
• Ability to exercise independent judgement consistently and seek out course of action outside established guidelines when necessary 
• Ability to establish and maintain co-operative working relationships across multinational internal business units and external parties 
• Advanced Microsoft Excel PowerPoint and SharePoint skills 
• Ability to work with minimal supervision, maintain confidentiality 
• Strong organisational and prioritisation skills
• Ability to work with senior levels of management
• Excellent time management skills and ability to meet deadlines

Problem Solving And Decision Making:

• Ability to solve routine problems of limited scope and complexity with guidance from the Management
• Ability to make independent decisions on a daily basis.
• Ability to think critically.

What makes Franklin Templeton Investments unique?

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: 

• Professional development growth opportunities through in-house classes and over 150 Web-based training courses  
• An educational assistance program to financially help employees seeking continuing education  
• Medical, Life, and Personal Accident Insurance benefit for employees.
• Medical insurance also covers employee’s dependents (spouses, children and dependent parents)  
• Life Insurance for protection of employees families  
• Personal accident insurance for protection of employees and their families   
• Personal loan assistance  
• Employee Stock Investment Plan (ESIP)  
• Onsite fitness center, recreation center, and cafeteria  
• Cricket grounds and gymnasium   
• Library 
• Health Center with doctor availability  
• Tuition Assistance Program  
• HDFC ATM on the campus  

Franklin Templeton Investments is an Equal Opportunity Employer. We invite you to visit us at http://www.franklintempletoncareers.com/ to learn more about our company and our career opportunities. Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need a workplace arrangement to search for, or apply for, one of our positions please send an email to accommodations@franklintempleton.com. In your email, please include the arrangement you are requesting and the job title and job number you are applying for. We will review the request and make a best effort to enact the arrangement. It may take up to three business days to receive a response to your request. Please not that only requests for arrangements will receive a response.
 
JOB FUNCTION: Customer Service and Operations
 
PRIMARY LOCATION: India-Andhra Pradesh-Hyderabad
 
 SCHEDULE: Full-time
 
Job Level: Individual Contributor
 
Shift: 2:00 PM – 11:00 PM IST