Senior Compliance Officer
Senior Compliance Officer
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Job Description
At Franklin Templeton were 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 thats 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: Senior Compliance Officer
Franklin Resources a global investment management organization with subsidiaries operating as Franklin Templeton and serving clients in over 150 countries. Franklin Templetons mission is to help clients achieve better outcomes through investment management expertise wealth management and technology solutions. Through its specialist investment managers the company offers specialization on a global scale bringing extensive capabilities in equity fixed income alternatives and multi-asset solutions. With more than 1500 investment professionals and offices in major financial markets around the world the California-based company has over 75 years of investment experience. Our success has been a direct result of the talent skills and persistence of our people and we are looking for Senior Compliance Officer based in the UK.
What is the Business Unit responsible for
The Global Compliance has more than 100 compliance professionals located in in various countries worldwide. Our team helps mitigate compliance risks facing the company including material loss financial loss or loss of reputation as well as the possibility of regulatory sanctions that Franklin Templetonmay suffer as a result of its failure to comply with laws regulations rules industry standards and codes of conduct applicable to its activities.
The Senior Compliance Officer role serves as either the designated Compliance Officer for an entity and/or country which involves complex products multiple business lines/licenses and/or cross-jurisdictional functions; and/or the primary point of contact providing strategic leadership for one or more critical compliance functions. This role requires an extensive understanding of applicable rules/regulations a deep understanding of Franklin Templetons business and the ability to identify opportunities to integrate local processes into global processes when feasible. Scope: This role requires significant independence and judgment and drives compliance decisions and practices of the department and junior compliance staff.
What are the ongoing responsibilities of the role
Being a key part of the UK Compliance Team providing advisory support to business departments and senior management
Maintaining the compliance framework for the UK entities
Working actively on new regulatory developments across EMEA by monitoring regulation preparing impact assessments advising and supporting the business
Develop appropriate management information for senior management boards Committees and working groups
Liaise with legal and internal audit on control issues
Participating in regulatory implementation projects
Supporting the broader Global Compliance teams including Investment Compliance and Marketing Compliance
Working closely with departments in and outside of the UK in particular Risk Management Internal Audit EMEA Investment Management Oversight Fund Accounting TA Oversight Legal Sales and Product Management
Participating in international compliance initiatives
What qualifications skills and experience would help someone to be successful
University degree in Economics Finance or Law
7-10 years experience in a compliance role within the asset management industry preferably gained in the UK
Excellent knowledge of the UK regulatory environment for investment funds and firms as well as relevant EU regulation in particular UCITS AIFMD MiFID
Good knowledge on UK and EU regulations governing alternative products operational risks digital investments market abuse and sustainable investments
Strong analytical and problem-solving skills with attention to detail
Strong and effective communicator both verbally and in writing
Strong team player
Collaborative approach to working with key business stakeholders and the ability to influence and build strong working relationships in a global multicultural environment
Very well-organized self-starter working independently and able to prioritize and manage several projects/assignments at a time
Proficient in MS Office applications such as Word Excel Powerpoint
What makes Franklin Templeton unique
In addition to the dynamic and professional environment at Franklin Templeton we strive to ensure that our employees have access to a competitive and valuable set of Total Rewardsthe mix of both monetary and non-monetary rewards provided to you in recognition for your time talents efforts and results. Highlights of our benefits include - contributory pension scheme private healthcare plan PHI life insurance Employee Stock Investment Program incentive plans purchase of company funds with no sales charge educational reimbursement and on-site training.
We believe that being a good corporate citizen is good business. To us corporate citizenship means being accountable serving our clients being an employer of choice managing our environmental impact and supporting our communities. An emphasis on corporate citizenship is embedded in our culture and values and is an important element of how we achieve success.
We are also committed to your learning and development with resources focused around Experience Exposure and Education to help you achieve your professional development goals. Take some time to meet some of our people and see what it means to say I AM Franklin Templeton.
Experience our welcoming culture and reach your professional and personal potential!
Building teams with diverse skills backgrounds and experiences has always been important to us. Cultivating an inclusive culture where employees feel safe to share their voices is not only beneficial for our people but also drives innovation and enables us to deliver better client outcomes. So no matter your interests lifestyle or background theres a place for you at Franklin Templeton. We will provide you with tools resources and learning opportunities to help you excel in your career and personal life.
We want our employees to be at their best. By joining us you will connect with 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 staying physically and mentally healthy saving for lifes adventures taking care of your family members or making a positive impact in your community we aim to have you covered.
Learn more about the wide range of benefits we offer at Franklin Templeton
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.
As part of our commitment to fostering a diverse and inclusive work environment we welcome applicants with flexible working arrangements in their current roles or those seeking a flexible working pattern. We encourage you to communicate any preferences for flexible working so that we can consider this during our hiring process. Additionally returners individuals who have taken a break from work are also encouraged to explore our job opportunities.
As a registered UK Disability Confident Committed Employer we encourage you to disclose if you consider yourself to have a disability as part of your application. This information enables us to provide the necessary support and leverage your unique talents effectively.
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 . 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 requests for arrangements will receive a response.
Required Experience:
Senior IC
Employment Type
Full-Time
