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Come join us in delivering better outcomes for our clients around the world! 

We are looking for a Portfolio Compliance Analyst to join the Investment Compliance (IC) team based in Hong Kong.

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 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, liaise with Traders and Portfolio Management to ensure timely resolution of compliance alerts for trade execution

• Engage in timely review & research on post-trade exceptions generated in Charles River by daily compliance cycle. Identify potential compliance issues and provides issue resolution

• Escalate the appropriate notification protocol to IC management and Investment Management groups of any potential violations

• Monitor outstanding compliance incidents and ensure they are addressed in a timely manner

• Responsible for the monitoring overall account compliance, including responding to client’s queries on guidelines matters and maintenance of guidelines revisions

• Respond to requests for information and enquires from internal teams and external parties
   

Other tasks:

• Assess controls and processes with the intent to improve the effectiveness and efficiency, including perform of review of accounts to validate guidelines for completeness

• 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

• 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

• 2-3 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

• Familiarity with applicable local securities legislation and fundamental understanding of applicable legislation in which the firm operates preferred (such as Hong Kong MPFA Regulations and SFC UT Code).

• Experience and familiarity with a wide range of asset classes (e.g., equities, fixed income, derivatives, asset-backed securities and Islamic products)

• Charles River and Bloomberg 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 English written and oral communication skills

• Ability to speak Mandarin and read Chinese will be highly preferred

• Strong relationship management skills

• Excellent problem-solving skills

• Ability to work independently with minimal supervision

• Ability to work in a fast pace and dynamic environment