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 judication 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.
#LI-Hybrid
#MID_SENIOR_LEVEL
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
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 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.