Portfolio Compliance Analyst/Senior Portfolio Compliance Analyst

Franklin Templeton Capital Holdings Pte Ltd
Singapore, Singapore
28 Jul 2022
27 Aug 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
We are looking for a Portfolio Compliance Analyst/Senior Portfolio Compliance Analyst to join the Investment Compliance (IC) team based in Singapore.

The successful candidate will be an integral part of the IC team within the Asia region and will be responsible for monitoring Franklin Templeton's mutual funds as well as segregated client accounts to ensure that investment restrictions are adhered to at all times. The restrictions that IC are responsible for monitoring may be stipulated by regulatory requirements, fund documents/client guidelines or by company policies and prudent risk management. Monitoring will be achieved through daily analysis of portfolios as well as the screening of trades prior to execution using compliance tools and Franklin Templeton's internal systems.

IC provides a wide range of services in support of the Portfolio Management Groups, Trading Desks and the Investment Risk team: This includes ensuring that trade and compliance data is available and accurate as well as assisting in the resolution of data, functionality, and system issues. This role acts as liaison with Investment Operations, Fund Accounting, and Technology teams as well as other support groups to ensure that transactions are processed in a timely and correct manner. The successful candidate will be IC's point of contact with the various trading desks and portfolio management groups located within Asia.

The Analyst/Senior Analyst will work to maintain and improve monitoring systems and processes that will enable the department to safeguard the business from risk of non-compliance with restrictions.

What are the ongoing responsibilities of this position?
  • Monitor Pre-trade compliance
  • Review & research exceptions generated in Charles River by daily compliance cycle (post-trade)
  • Escalate the appropriate notification protocol to IC management and Investment Management groups of any potential violations
  • Monitor outstanding incidents and ensure they are addressed in a timely manner
  • Respond to requests for information and enquires from internal teams and external parties
  • Mentor and provide guidance to less experienced IC analysts (Senior Analyst)

Other tasks:
  • Assess current controls and processes with the intent to improve the effectiveness and efficiency
  • Provide internal and external reporting in a timely and accurate manner
  • Participate in new account on-boarding process, including interpretation of investment guidelines/ restrictions and setup coding and testing of rules in the compliance system.
  • Close terminated accounts in accordance with closed account procedures
  • Conduct Annual Review Process of accounts to validate guidelines and test the effectiveness of system's rules
  • Involvement in project work and other ad-hoc requests that the team is required to complete

What qualifications, skills and experience would help someone to be successful?
  • A Bachelor's degree or equivalent experience
  • 3-5 years' experience in the Investment Management industry, while experience of portfolio compliance would be an advantage, we seek candidates who have solid industry knowledge and can learn on the job
  • Experience and familiarity with a wide range of asset classes (e.g., equities, fixed income, derivatives, asset-backed securities and Islamic products)
  • Charles River experience would be an advantage, but is not an essential
  • Analytical skills, an ability to troubleshoot issues quickly and provide timely responses
  • Strong attention to detail and accuracy
  • Effective written and oral communication skills
  • Strong relationship management skills
  • Excellent problem-solving skills
  • Ability to work independently without direct supervision
  • Ability to work in a fast pace and dynamic environment

What makes Franklin Templeton 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.

We believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and supporting our communities. An emphasis on corporate citizenship is embedded in our culture and values, and is an important element of how we achieve success.

We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals. Take some time to, meet some of our people, and see what it means to say, "I AM Franklin Templeton."

Franklin Templeton Investments values diversity in its workforce and welcomes employees from different backgrounds, generations, capabilities, cultural identification, sexual orientations, and gender expression, in addition to other attributes that contribute to a truly diverse and inclusive community.

We regret that only short-listed candidates will be notified.

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