As a Compliance Business Analyst within the Investment Compliance team, you will play a critical role in ensuring portfolios adhere to regulatory requirements, client mandates, and internal policies
Job Summary
As a Compliance Business Analyst within the Investment Compliance team, you will play a critical role in ensuring portfolios adhere to regulatory requirements, client mandates, and internal policies.
Perform pre-trade and post-trade compliance monitoring against regulatory and client guidelines and review and investigate automated compliance alerts (Charles River), including escalation where required.
Franklin Templeton is committed to providing equal employment opportunities to all applicants and existing employees, and we evaluate qualified applicants without regard to ancestry, age, color, disability, genetic information, gender, gender identity, or gender expression, marital status, medical condition, military or veteran status, national origin, race, religion, sex, sexual orientation, and any other basis protected by federal, state, or local law, ordinance, or regulation.
Matching Summary
As a Compliance Business Analyst within the Investment Compliance team, you will play a critical role in ensuring portfolios adhere to regulatory requirements, client mandates, and internal policies.
Skills & Requirements
Must-have
Pre-trade and post-trade compliance monitoring
Charles River compliance alerts
Manual compliance checks
Client onboarding and mandate interpretation
Restricted securities list maintenance
Client certifications and reporting
Audit trail and procedure accuracy
Order execution compliance
Process improvement identification
Audit and control review participation
Nice-to-have
Strong analytical thinking
Problem-solving ability
Excellent communication skills
Global stakeholder engagement
High attention to detail
Manage multiple priorities
Work independently and collaboratively
Key Requirements
MBA (Finance) or equivalent
2–5 years of experience
Strong understanding of financial markets
Experience with regulatory requirements
Advanced proficiency in Microsoft Excel
Familiarity with Charles River or Aladdin
Knowledge of equities, fixed income, ETFs, derivatives