At Franklin Templeton, we're driving 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 offer opportunities not only to help you reach your potential but also to contribute to our clients achievements.
Come join us in delivering better outcomes for our clients around the world!
About The Role
- 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. You will work across pre-trade and post-trade compliance, client onboarding, certifications, and control processes while partnering with global stakeholders.
Key Responsibilities
- Perform pre-trade and post-trade compliance monitoring against regulatory and client guidelines
- Review and investigate automated compliance alerts (Charles River), including escalation where required
- Conduct manual compliance checks for portfolios, benchmarks, and transactions not covered by automation
- Support onboarding of new clients by interpreting mandates, coding rules, and validating restrictions
- Maintain restricted securities lists at issuer and security level
- Prepare client certifications and support board/institutional reporting
- Ensure documentation, audit trails, and procedures are accurate and up to date
- Partner with traders and portfolio managers during order execution to ensure compliance adherence
- Identify process improvement opportunities and support automation initiatives
- Participate in audits and control reviews to ensure framework effectiveness
Required Qualifications & Experience
- MBA (Finance) or equivalent academic excellence
- 25 years of experience in investment compliance, asset management, or financial services
- Strong understanding of financial markets, asset classes, and trading lifecycle
- Experience working with regulatory requirements and client mandates
- Advanced proficiency in Microsoft Excel (automation knowledge preferred)
- Familiarity with compliance platforms such as Charles River or Aladdin is a plus
Preferred Skills
- Knowledge of equities, fixed income, ETFs, derivatives, and alternative investments
- Strong analytical thinking and problem-solving ability
- Excellent communication skills with ability to engage global stakeholders
- High attention to detail and ability to manage multiple priorities
- Ability to work independently and collaboratively in a fast-paced environment
Certifications (Preferred)
- CFA (Level I/II), FRM, or CA (Inter)
- Certifications in financial markets, derivatives, or mutual funds
Work Shift Timings - 7:30 AM - 4:30 PM IST
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.
Hear more from our employees
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.
Highlights Of Our Benefits Include
- Professional development growth opportunities through in-house classes and over 150 Web-based training courses
- An educational assistance program to financially help employees seeking continuing education
- Medical, Life and Personal Accident Insurance benefit for employees. Medical insurance also cover employee's dependents (spouses, children and dependent parents)
- Life insurance for protection of employees families
- Personal accident insurance for protection of employees and their families
- Personal loan assistance
- Employee Stock Investment Plan (ESIP)
- 12 weeks Paternity leave
- Onsite fitness center, recreation center, and cafeteria
- Transport facility
- Child day care facility for women employees
- Cricket grounds and gymnasium
- Library
- Health Center with doctor availability
- HDFC ATM on the campus
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.
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 [Confidential Information]. 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.
