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Franklin Templeton
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Compliance Analyst

Compliance Analyst

Franklin Templeton

2 - 5 years

3 - 8 Lacs

Hyderabad

Posted:1 day ago| Platform:

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Skills Required

risk management ms project auditing sql tableau data analytics software testing internal control power bi investment compliance financial services alteryx automation tools compliance monitoring charles river data visualization excel vba

Work Mode

Work from Office

Job Type

Full Time

Job Description

What is the Compliance Analyst Role?

Perform ongoing, periodic audit of global and regional Compliance Policies & Procedures, as well as thematic risk areas identified during period risk assessment exercises.
Conduct compliance reviews in accordance with the periodic monitoring & testing plan to provide assurance that the business operates in compliance with relevant laws, regulations and FTs Compliance policies and procedures.
Analyze large datasets using various analytical tools and techniques to identify patterns, anomalies, and potential risks.

What are the ongoing responsibilities of Compliance Analyst?

This is a professional role within a dynamic and growing team dedicated to ensuring the integrity of our Investment Compliance processes. You will be responsible for testing internal controls and reporting the results of monitoring reviews conducted on FT Investment Policies. We are seeking an innovative and forward-thinking professional who can also actively contribute to the continuous improvement of our Investment Compliance (IC) monitoring activities. You will leverage data analytics techniques, where required, to enhance compliance monitoring and support our ongoing analytics initiatives.

Key Responsibilities:

Review policies and conduct process walkthroughs to understand regulatory requirements and associated controls for assigned FT Investment policies.
Perform independent analysis of existing workflows to assess effectiveness and compliance.
Test controls from both design and operating effectiveness perspectives to identify actual and potential breaches, leveraging data analytics techniques where necessary.
Analyze large datasets using various analytical tools and techniques to identify patterns, anomalies, and potential risks.
Prepare reports to inform key stakeholders of the outcome of monitoring and review activities.
Contribute to the automation of routine audit tasks and improve efficiency with data analytics tools and techniques.
Execute and manage the collection and analysis of data for management reporting and audit inquiries.

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

Education And Experience:

Professional certification (CA MBA CFA). Postgraduate in finance or related field.
Experience of 2-5 years with a mutual fund complex, investment advisory firm or investment banking.
Experience preferably includes 1-5 years within a Compliance or Audit or Risk Management Department.
Previous experience of Compliance Monitoring and/or testing of internal controls in financial services is a plus.
Strong MS Office and MS Project capabilities.
Knowledge of SQL and/or Excel VBA is a plus.
Knowledge of Alteryx, Power BI, Tableau, and other analytical/automation tools is a plus.
Experience of data analytics data visualization in the context of monitoring is a plus.
Charles River/Alladin Experience a plus.

Skills And Abilities:

Proven ability to work with other analyst to accomplish common goals.
Strong interpersonal skills and a talent for building trusted relationships with all levels 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 verbal communication skills.

Problem Solving and Decision Making:

Ability to work independently & look for solutions proactively.
Flexible worker with ability to work under pressure and within tight timelines.
Strong time management skills and ability to handle multiple tasks.
Is assertive, needs to be able to reject a request giving a solid reasoning behind the decision

Job Level - Individual Contributor

Work Shift Timings - 2:00 PM - 11:00 PM IST

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Franklin Templeton

Financial Services

San Mateo

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Compliance Analyst