|Nazwa firmy||Franklin Templeton|
|Stanowisko||Investment Compliance Analyst|
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Investment Compliance Analyst
The analyst will be part of a global team responsible for monitoring Franklin Templeton's mutual funds as well as segregated client accounts to ensure that investment restrictions, regulations and business rules are adhered to.
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.
Trading Desk Compliance:
Liaising directly with the portfolio management teams and traders, the analyst will ensure that all trades entered for execution comply with applicable investment restrictions. The analyst will also assist in ensuring that all trading desk policies are adhered to. This will include trade allocation, best execution and inter account transaction policies. In addition, the analyst will provide approval for investment in IPOs and other security offerings.
The analyst will conduct automated reviews of investment guidelines using Charles River to note if there are any breaches of investment restrictions on a post trade basis. If necessary, the analyst will be responsible for working with the portfolio management to resolve any issues. The analyst will also use the reviews to note which accounts are approaching investment limitations and keep the portfolio management teams informed.
Implementation of controls:
Interpreting investment guidelines and ensuring that the appropriate controls are put in place will be among the analyst's responsibilities. This will involve working with legal, compliance and risk personnel along with sales and new business teams.
The Investment Compliance team are also responsible for implementing controls to prohibit transactions when FT is in possession of material non-public information. The analyst will be responsible for putting the necessary controls in place along with monitoring firm wide exposures in companies and countries.
Maintenance of controls:
The analyst will ensure that appropriate controls are maintained and improved on a continuous basis.
What ideal qualifications, skills & experience would help someone to be successful?
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