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What is the Compliance Business Analyst in the Investment Compliance group responsible for?

• This role would require the Analyst to assist on Pre-Trade/Batch Compliance, Client Certifications 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. Onboard new clients for the Investment Compliance Team by comprehending their investment objectives, interpreting their mandates, encoding, verifying the restrictions, and reporting any discrepancies. Maintain the restricted securities list at the security/issuer level to ensure compliance with trading restrictions put in place by clients or portfolio managers. 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. The position would also require the analyst to have a good understanding of complex securities, fixed income, and equity products. The role would also require the analyst to possess good communication skills.

• The analyst would be required to 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.

What are the ongoing responsibilities of a 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 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, independent 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 colleges with excellent academics can be considered. Work experience of 2-5 years preferred. years’ experience

• Experience with Financial Services/Asset Management Industry, Mutual fund, Stock broking (preferably in portfolio/investment compliance)

• Good in Microsoft Excel and handling different applications. (Knowledge of Macros or automation tools will be added advantage)

• Knowledge of Charles River or Aladdin –is a bonus.

• Have good understanding of complex securities, ETFs, fixed income, equity/private equity, MUNI’s and Derivative products. Possess excellent communication skills as the analyst needs to interact with Global counterparts/ Portfolio Managers / Traders daily.

• 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.

Knowledge, Skills, and Abilities:

• Ability to collaborate with teams from various locations and multi-task.

• Strong interpersonal skills and a talent for building trusted relationships 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 time management skills and ability to handle multiple tasks under time pressure.

• Strong attention to detail and accuracy.

• Able to work with minimum supervision.

• Excellent written and oral communication and presentation skills.

• Must be willing to work in US shifts for real-time support if required.

Licenses and Certifications:

• Certifications in Derivatives & Mutual funds (desirable)

Additional Desirable Qualifications:

• CA (Inter), CFA Level1-2, FRM Level 1

• Certification course in derivatives or financial markets.

• Charles River or Aladdin experience a plus.

Problem Solving and Decision Making:

• Ability to work independently & pro-actively look for a solution.

• Strong time management skills and ability to manage multiple tasks together.

Job Level - Individual Contributor

Work Shift Timings - 4:30 PM - 1:30 AM IST