At Franklin Templeton Investments, we are dedicated to delivering strong results and exceptional service to clients, team members and business partners. Over 9,000 employees working in 60 offices around the world are dedicated to servicing investment solutions for our clients in more than 150 countries. For over 65 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 the Specialist - IC QA in Investment Compliance group responsible for?
Investment Compliance (IC) provides compliance services to Investment Management. This role would require the Analyst to assist IC QA Manager on four main responsibilities; Policy testing, Process level control testing, Audit co-ordination and Policy updates. The focus of this position is the testing of policies and procedures falling under the purview of the Investment Compliance globally, as well as the maintenance and administration of such policies.
Additionally, the analyst will be responsible for conducting routine checks/ audits to ensure the integrity of electronic archives, analyst assignments, as well as various forms of information retention.
This position may provide consultation and advice to various IC team members but also retains responsibility for production support of testing and reporting.
What are the ongoing responsibilities of Specialist - IC QA?
Develop and manage a quality control program to (1) verify that existing testing programs are effective and efficient; (2) complete applicable testing and (3) communicate the results and recommendations to appropriate IC team members and manage the documentation of applicable work papers.
Facilitate communication with any external team performing a review of IC workflows or output. This includes (but is not limited to) Global Compliance, Internal / External Audit and applicable regulators. This position analyzes requests for information, collects applicable data and performs quality control analysis of the results, raising issues with IC QA Manager and management.
Responsible for facilitating creation of new policies as dictated by business requirements and the maintenance of existing policies. Clear and concise communication (both verbal and written) as well as strong organizational skills is critical.
Develop, facilitate and manage the collection / analysis of process data for the purposes of management reporting and other periodic metrics & dashboards.
What ideal qualifications, skills & experience would help someone to be successful?
Education and Experience:
Minimum 1-5 years’ experience with a mutual fund complex, investment advisory firm, or Audit firm.
Graduation degree in Accounting, Finance. Master’s in finance preferable.
Knowledge of investment management industry and Auditing
Working knowledge of applicable investment regulations e.g. SEC Regulations, 1940 Act, and UCTIS investment guidelines – preferable.
Working knowledge in auditing tools and processes.
Knowledge of derivatives, complex securities and trade flows – preferable.
Strong communication skills.
Additional Desirable Qualifications:
CFA Claritas (or equivalent) accreditation is a plus.
Charles River Experience a plus.
Prior experience in 'Investment Compliance Department' is a plus.
Demonstrated ability to take initiative and drive improvement projects with minimal supervision. Six Sigma certification a plus.
Knowledge of SQL and/or Excel VBA a plus.
Knowledge, Skills and Abilities:
Proven ability to work with other analysts/ supervisors/managers to accomplish common goals.
Strong interpersonal skills and a talent for building trusted relationship with all level of staff including senior management to accomplish common goals.
Exceptional analytical skills, ability to troubleshoot issues quickly and provide timely responses and accuracy.
Strong attention to detail and accuracy.
Excellent written and oral communication and presentation skills.
Strong MS Office and MS Project capabilities.
Problem Solving and Decision Making:
Ability to work independently & look for solutions pro-actively.
Strong time management skills and ability to handle multiple tasks.
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
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.
JOB FUNCTION: Legal & Compliance
PRIMARY LOCATION: India-Andhra Pradesh-Hyderabad
JOB POSTING DATE: Sep 17, 2019, 12:32:53 AM