Portfolio Compliance Analyst-Trading at Franklin Templeton Investments

Job Description - Portfolio Compliance Analyst-Trading (827609)
Job Description

Portfolio Compliance Analyst-Trading-827609
Franklin Templeton Investments is a leading global investment management organization due to the efforts of our greatest assets - our employees. We have over 9,000 employees working in 60 offices around the world, servicing investment solutions for our clients in more than 150 countries. We believe in our corporate values of putting clients first, building relationships, achieving quality results, and working with integrity. Our people are dedicated to delivering strong results and exceptional service to clients, team members and business partners.
For more than 65 years, our success has been a direct result of the talent, skills and persistence of our people. We’re currently looking for qualified candidates to join our team.
What is the Portfolio Compliance Analyst-Trading responsible for?

Pre and Post Trade Compliance

  • Work with Traders, Portfolio Management, Compliance personnel and attorneys to ensure pre-trade compliance
  • Ensure transactions for mutual funds are in compliance with regulatory requirements, account restrictions, and internal procedures.
  • Approve and provide guidance regarding proposed security transactions.
  • Timely and appropriate review of material compliance issues identified on the trading desks and provides complex issue resolution.
  • Responsible for pre-clearance and maintenance of the Watch List for restricted securities.
  • Performing daily compliance processes using Charles River, Quantis and various data management programs on a pre-trade and post-trade basis. This includes, but is not limited to:
    • Pre-trade review, research and close pre-trade alerts. Review relevant restrictions and pre-clear accounts for eligible to participate in IPO and inter-scheme transactions, follow the process outlined in the Trade Error policy when applicable.
    • Batch review and research compliance alerts, warnings and data exceptions.Perform required manual calculations and escalate the appropriate notification protocol to IC management and investment management personnel of any potential violations.
  • Perform manual checks and analyses of portfolio and benchmark holdings, review historical transactions etc for restrictions which are not automated in Charles River, including research on other systems such as Bloomberg, POINT and MSCI.

Regulatory Filings and preparing AMC/ Trustee Board reports and certifications:
  • Furnish all reporting requirements related to RBI, SEBI, AMC Trustee Board and Internal and external regulators.
  • Preparation of Compliance Test reports (CTR)
  • Review and assist with implementation of SEBI circulars in a timely manner
  • Certifications for Sub-advised/Institutional Clients

Other Responsibilities:

  • Ad hoc requests.
  • Special projects relating to local/ global trading desk compliance (i.e. CSRC committee, set-up of new brokerage accounts etc.)
  • Relationship management (internal):determining portfolio and trading business requirements, regular training and ongoing building or rapport for IC customers.
  • Relationship management (external): attendance at due diligence and committee meetings

What are the ongoing responsibilities of Portfolio Compliance Analyst-Trading?

Policy and procedures:

Provide practical operational input on trading desk practices to ensure that policies are appropriately implemented:
  • Education and Training of trading personnel on new regulatory schemes and other policy changes and the fundamental importance of a culture of compliance.
  • Highlight areas across global/ local trading desks where desktop level procedures will be required to create the necessary controls.

Account Reviews:

  • Perform detailed compliance analysis of all rules in Charles River and Quantis.Review prospectuses and other investment management agreements and validate the revised restrictions are updated in the Charles River System and Quantis. Perform manual calculations required to ensure compliance. Assist with the setup of new accounts/Funds.
  • Review and assess existing manual and automated processes in an effort to maximize the potential while mitigating risk and maintain the same level of integrity.

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

Education (or equivalent experience):

  • Minimum 2-4 years’ experience in Investment Compliance/ Investment Management/ Trade Compliance
  • BS/BA degree in Accounting, Finance, Business Administrations, MBA is a plus
  • Knowledge of local securities legislation, complex investment vehicles, derivatives, trade flows & investment strategies
  • In depth understanding and strong working knowledge of applicable SEBI rules and regulations - Mandate
  • Knowledge of applicable rules and regulations of international investment advisers located in Asia (SEBI, Hong Kong SFC / MPF) - preferred
  • Solid project management skills; experience with managing timelines and a commitment to execution.


  • Trustworthy, reliable, dependable, effective, efficient, and team oriented
  • Highly motivated, independent and dedicated
  • Charles River Experience a plus


  • Proven ability to work with other analysts/ supervisors/project 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


  • Ability to work independently & look for solution before asking
  • Strong written and verbal communication and interpersonal skills
  • Strong time management skills and ability to handle multiple tasks


  • Yes; travel may be required
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)
  • Located in the heart of Mumbai in the Indiabulls Finance Centre, with spectacular views of the buzzing city
  • Walking distance of 500 meters from Western/Central railway station, accessible by road and local rail from all parts of the city
  • Annual recognition programme
  • Volunteer services and paid time off for volunteering
  • International Traveler Assistance programme
  • Close proximity to Phoenix Mall, ITC Grand Central, Four Seasons Hotel and the vibrant Lower Parel and Dadar area
  • Close proximity to Phoenix Mall, ITC Grand Central, Four Seasons Hotel and the vibrant Lower Parel and Dadar area

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-Maharashtra-Greater Mumbai



Job Posting Date

:Apr 10, 2019, 7:38:48 AM


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