Senior Compliance Analyst/Compliance Officer

5 days ago

Hong Kong Island, Hong Kong SAR China Franklin Templeton Investments Full time

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Senior Compliance Analyst/Compliance Officer

Apply locations HKG-HK12-Hong Kong time type Full time posted on Posted 30+ Days Ago job requisition id 860801

At Franklin Templeton, we're advancing our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring expertise that's both broad and unique. From our welcoming, inclusive, and flexible culture to our global and diverse business, we provide opportunities to help you reach your potential while helping our clients reach theirs.

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

Franklin Templeton Investments (Asia) Limited ("FTIA") is looking for a Senior Compliance Analyst/Compliance Officer to join the team in Hong Kong. The role serves as the main point of contact for a regulator and serves as owner/subject matter expert for one or more compliance functions. The role requires an extensive understanding of applicable rules/regulations. This role will make decisions but will need to use judgment to escalate certain matters to Global Compliance management for further guidance.

This role requires self-motivation and good interaction with other team members.

The successful candidate will report directly to Head of Compliance, Greater China, who is also the Compliance MIC of FTIA.

What are the ongoing responsibilities of this position?

Compliance:

  • Providing support on all FTIA and other group companies' compliance, MLRO, and governance activities
  • Provides guidance to business unit management on compliance risk issues and compliance policies and procedures of a local nature
  • Serves as lead compliance support to local business units in compliance training
  • Works closely with Head of Compliance, Greater China to identify situations that may pose significant compliance risk and independently develops/reviews/updates relevant policies, procedures, and business practices
  • Undertake review and analysis of new regulatory developments, articulating how these developments impact business activities
  • Actively participate in day-to-day compliance monitoring and testing, including review of marketing materials, marketing of the fund to potential investors/clients, reviewing responses to due diligence questionnaires and RFPs, and client onboarding process.
  • Leads efforts in special projects
  • Completes risk assessments and develops necessary compliance monitoring programs
  • Prepares various reports and presentations with some guidance from senior Global Compliance management
  • Under guidance from Head of Compliance, Greater China with Franklin Templeton's first- and second-line teams (i.e. Risk, Governance, Distribution, Legal) to identify steps necessary to mitigate potential regulatory risks and provide those recommendations to relevant parties
  • Coordinates regulatory exams and responses to regulatory inquiries and/or findings with guidance from senior Global Compliance management
  • Work as a liaison between the regulators and Franklin Templeton
  • Ad hoc responsibilities
What qualifications, skills and experience would help someone to be successful?
  • Bachelor's degree required, preferably in business or legal studies
  • At least 7 years' experience in a compliance function at a regulated financial service or in a law firm advising financial services clients, with strong preference for prior experience in asset management
  • Preference for prior experience of interaction/engagement with the regulator
  • Knowledge in Digital Assets is an advantage
  • Strong investment acumen and good understanding of relevant regulations in each jurisdiction which FTIA may be involved (i.e. Hong Kong and China)
  • Excellent interpersonal, written and oral communication skills with ability to communicate and influence across a broad range of sophistication levels
  • Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
  • Excellent organization skills, a self-starter, highly motivated, and capable of delivering output independently as well as in a team environment
  • Seniority of the role will depend on the candidate's relevant experience and skills.
Experience our welcoming culture and reach your professional and personal potential

Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there's a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.

By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life's adventures, taking care of your family members, or making a positive impact in your community, we aim to have them covered.

Franklin Templeton is an Equal Opportunity Employer. We are 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.

Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to accommodations@franklintempleton.com. In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response.

About Us

At Franklin Templeton, we embrace individual differences and value perspectives brought by global diversity. And, although we are all different, we have one thing in common: we are dedicated to what we do.

So whether you're starting your career journey, are well on your way, or are seeking a new direction, you'll find the support you need to grow your career with us.

Come, join us, and help us shape the future of the global asset management industry

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