Graduate Trainee Operations-838934
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 the Compliance Specialist - COE responsible for?
The Code of Ethics Specialist works under general direction of the Supervisor Global Compliance and is responsible for reviewing and processing daily brokerage account confirmations and monthly/quarterly statements. The Code of Ethics Specialist will ensure employees have correctly attested and declared personal trading accounts and performing the ongoing surveillance of those trading accounts and responsible for successfully monitoring the employees' personal trading activities with strong adherence to compliance policies and controls. They should be analytical and have the ability to identify trading activity that is not in line with FTI Personal Investments and Insider Trading Policy (the “Policy”). using the Protegent Personal Trading Assistant (PTA) application (application database used to monitor personal trading).
What are the ongoing responsibilities of Compliance Specialist - COE ?
In additional the Compliance Specialist also works on data rejects and participates in the administration of the initial and annual certification process assisting employees in completing their certifications on time.
Review brokerage confirmations and statements:
Input/update trade confirmations into personal trading system.
Run and review reports to ensure compliance.
Review monthly and quarterly statements to ensure transactions and other miscelanious. activities (transfers, shares received, corporate actions etc.) have been input into the personal trading system.
Reconciliation of holdings in the personal trading system and monthly/quarterly brokerage statements.
Process new and closed accounts:
Processing 3210 letters to the US and Canadian brokerage firms to obtain broker confirmations and statements for the newly reported accounts
Ensure 3210 discontinue letters are processed for closed and terminate employee accounts
Email appropriate electronic brokerage firms and access their websites to link the new accounts and to delink the closed and terminate employees accounts
Ensure to receive broker signed agreement for the discretionary accounts and forward to appropriate compliance officers for their review
Reminder notifications and follow-up emails:
Send reminder emails daily and follow-up if required with the employees who are due with initial certifications
Escalate to supervisors or managers with the overdue certifications
Follow-up with employees to obtain missing period statements
Assist and guide employees in reporting their personal brokerage accounts, trading activity, statements and follow-up if required.
Independently and accurately answer routine and non-routine inquiries regarding reporting of personal account and transactions.
Documentation/Record Retention/Shared mailbox:
Ensure all operational procedures are current and thoroughly documented.
Assist in the review of operational procedures, to evaluate and identify opportunities for improvement/efficiencies.
Assist in the monitoring of the Code of Ethics mailbox for consistent and accurate responses to emails
Ensure the Code of Ethics mailbox items are retained and easily accessible.
Add and remove restricted and watchlist securities on a daily basis for the various advisory groups as appropriate
Assist with Special Projects as assigned
What ideal qualifications, skills & experience would help someone to be successful?
Bachelor and/or graduate degree (or equivalent) in accounting, finance or business.
MBA Finance would be given a preference
Typically 1 to 2 years of experience
Strong knowledge of business desktop applications (Outlook, Word, Excel, Access, PowerPoint, etc.)
Skills And Abilities:
Strong attention to detail and analytical skills
Ability to adhere/respond to established time frames and schedules
Ability to maintain confidentiality
Excellent verbal and written communication skills
Basic knowledge of financial instruments (equities, bonds, mutual funds and other derivative products).
Ability To Accurately Proofread Documents
Ability To Perform Multiple Tasks And Work Under Strict Deadlines
Experience with FIS Personal Trading Assistant (PTA) & OneTis a plus
Licenses And Certifications:
Claritas Investment Certificate
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. 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 email@example.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: Legal & Compliance
PRIMARY LOCATION: India-Andhra Pradesh-Hyderabad
Job Level: Individual Contributor
Shift: 2:00PM to 11:00PM IST