Compliance Business Analyst1

Job Description

• This role would require the Analyst to work on Pre/ Post Trade Compliance, Client Certifications, Account Onboarding, Security restrictions and other tasks involving review, research and analysis. The analyst would monitor compliance with investment restrictions stipulated by a variety of sources including but not limited to Franklin Templeton Internal Policies, fund documentation, client account guidelines, and regulatory requirements. Routine audits will also be performed to ensure the integrity of electronic archives, analyst assignments, as well as various forms of information retention. Additionally, the position will involve different forms of data maintenance specific to account status tracking, correspondence filing as well as involvement in the administration of the department s virtual information repository. This role would require analyst to.
• Have good understanding of complex securities,, ETFs, fixed income, equity/private equity, MUNI s and Derivative products.
• Possess excellent communication skills as the analyst need to interact with Global counterparts/ Portfolio Managers / Traders on a daily basis.
• Exhibit knowledge of various aspects of financial markets especially with regards to asset classes, trading fundamentals etc. along with behavioral dexterity to manage professional rapport while working with various teams/departments.
• Quickly learn regulatory requirements pertaining to the region they are going to support (like SEC, MFDA etc.)
• Have complete and practical understand of different regulations, new market products along with portfolio construction knowledge.
• Research and make prompt decisions based on different situations which may arise daily and may not be included in the procedure manual.

What are the ongoing responsibilities Compliance Business Analyst Duties / Responsibilities:

• 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, Eikon, POINT and MSCI.
• Post-Trade Analysis: Conduct timely and accurate compliance analysis of portfolio holdings, composition and historical transactions to verify compliance with applicable investment exposure and activity limitations stemming from regulatory requirements, client mandate, applicable policies, etc.
• Pre-Trade Analysis: Investment Compliance personnel liaise directly with traders and portfolio teams at the point of order entry to ensure compliance with applicable investment limitations / restrictions.
• Exceptions generated via the automated pre-trade compliance review (Charles River) are reviewed for further investigation, escalation, etc.
• Certifications for Sub-advised/Institutional Clients.
• Assist in client/ board reporting preparation.
• Ensure documentation and procedures are maintained and kept up to date.
• Team administration tasks.
• Other tasks involving review, research and analysis.
• Assess current controls and processes, with the intent to optimize and improve efficiencies and reduce risk of errors.

What ideal qualifications, skills & experience would help someone to be successful Education and Experience:

• MBA with Finance from premium business schools.
• Exceptional candidates who have completed their graduation from premium collages with excellent academics can be considered. At least 2 year s experience in Investment Compliance preferred and familiarity with Canada/US jurisdiction regulations.
• Solid knowledge of Financial services Industry, Mutual fund, Stock Markets, Derivative Products and other Local & International Investment products.
• Excellent Communication skills (Average comm skills will not be considered).

Knowledge, Skills and Abilities:

• Investment savy and knowledge of Global markets.
• Ability to work with teams from different locations and experience to multi-task.
• 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 skills.
• Good presentations skills preferable.

Licenses and Certifications:

• Certifications in Derivatives & Mutual funds (desirable).

Additional Desirable Qualifications:

• Candidates cleared CA (Inter), CS (Inter), CFA Level1-2

Problem Solving and Decision Making:

• Ability to work independently & pro-actively look for solution.
• Strong time management skills and ability to handle multiple tasks under time pressure.
• Able to work with minimum supervision.

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Keyskills :
requirements documentation functional imemanagement stronginterpersonalskills mutualfunds fitnesscenter fixedincome businessrequirements