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| Job Posting Detail |
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| Job Title |
Compliance Analyst-Portfolio |
| Ref Code |
1776405MUT |
| Last Updated |
1/10/2010 7:25:00 PM |
| Description |
Franklin Templeton Investments remains a leading global investment management organization for 60 years thanks to our greatest assets - our employees. With over 8,000 employees working in 30 countries around the world to service over 240 financial products, we offer an exceptional range of diverse career options. Our corporate values reflect the best of our employees. We believe in putting clients first, building relationships, achieving quality results, and working with integrity. We strive to bring a balance of work and life to our employees.
We're currently looking for qualified candidates to join our winning team.
The compliance analyst monitors investment portfolios to test for compliance with investment restrictions derived from fund disclosure, regulatory and contractual requirements. The analyst maintains and improves systems and processes that will enable the department to safeguard the business from risk of non compliance with the aforementioned investment guidelines.
Primary responsibilities: Perform daily portfolio compliance analysis of portfolios covering a wide array of investment strategies. Investigate and research compliance exceptions and perform manual monitoring as required. Maintain and enhance automated compliance monitoring system (Charles River) to continuously strengthen preventative controls. Complete testing of investment advisor activity to identify potential regulatory and / or policy violations. Appropriately document analysis and testing results and escalate issues as required. Participate in cross-functional efforts with portfolio management; trading and technology as part of the firm's continuous effort to strengthen controls and create efficiencies.
JOB REQUIREMENTS:
2 - 3 years of analytical and problem solving experience. Financial services industry experience preferred.
Advanced Microsoft Excel skills (proficient in formulas, functions, charts, macros) required.
Must be responsive to inquiries and urgent requests and be able to obtain needed information and involvement from various areas. Must also be flexible and creative in order to meet requests in a timely fashion. Willing to 'roll up sleeves' and do what is necessary.
Ability to work independently and in a cross functional environment
Strong organizational skills required to balance varying workload and priorities. Good written and verbal communication skills required.
Familiarity with US securities laws (1940 Acts)
Fundamental knowledge of the mutual fund industry, investment products and concepts
Familiarity with Charles River compliance a plus
Familiarity with complex derivatives a plus.
Bachelor's degree (finance, economics, business administration) required.
We thrive in a dynamic culture that is as rich as our tried-and-true investment philosophy and offer an opportunity for you to maximize your potential. We are committed to offering a competitive compensation package and exceptional benefits program.
Highlights of our benefits include:
Three weeks paid time off the first year
Medical, dental and vision insurance
401(k) and Profit Sharing Plan with company matching
Employee Stock Investment Program
Purchase of company funds with no sales charge
Onsite fitness center and recreation center
Education assistance
Onsite cafeteria
EOE. We invite you to visit us at www.franklintempleton.com to learn more about our company and our career opportunities.
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| Qualifications |
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| Company Description |
To apply for this position, please copy and paste the following link into your browser address bar:
http://franklintempleton.contacthr.com/14851124
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Job Category
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Finance
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Location
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California
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To apply for this job, please follow the instructions contained in the listing.
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