Compliance Analyst

  • Competitive
  • Hong Kong
  • CDI, Plein-temps
  • Franklin Templeton Investments
  • 18 sept. 17

The purpose of Global Compliance is to assist Franklin Templeton’s boards of directors, senior management, and business unit leaders to effectively manage the compliance risks to Franklin Templeton (“FT”), its subsidiaries and respective functional business units. Compliance risk is defined broadly as the risk of legal or regulatory sanctions, material financial loss, or loss of reputation a company may suffer as a result of its failure to comply with laws, regulations, rules, related self-regulatory organization standards, and codes of conduct applicable to its activities.

Based in Hong Kong and reporting to the Compliance Officer in Hong Kong, the compliance analyst will support such efforts by handling all Hong Kong licensing related matter and reviewing marketing materials.  This role will also implement a compliance monitoring program for FT’s business units to ensure that their activities comply with all pertinent legal and regulatory requirements as well as FT’s internal policies and procedures. This role will have opportunities to work with other members within International Compliance Team across EMEA and APAC on various compliance projects and initiatives to support our business partners.
 
Responsibilities:

  • Liaise with regulators such as Securities and Futures Commission and Mandatory Provident Fund Schemes Authority;
  • Handle daily licensing-related matters in a timely manner, including preparing applications for individuals and filing annual returns to ensure compliance with local requirements;
  • Compile regulatory compliance reports to regulators, auditors, clients and/or trustees; and
  • Prepare compliance reports and certifications. Develop FTI digital capabilities in various digital and social media platforms
  • Maintain Hong Kong and China website and ensure all information is up to date
  • Review marketing materials and financial promotions to ensure adherence to applicable regulatory requirements and industry best practice.
  • Perform preliminary local compliance risk assessments;
  • Implement compliance monitoring programs in a timely and efficient manner
  • Analyze and report forensic testing results
  • Update local compliance manuals, policies, and procedures where appropriate.
  • Participate in ICT’s projects and initiatives, other business projects to support our business partners

 
 QUALIFICATIONS
 
Ideal candidates will have:

  • Bachelor’s Degree
  • Minimum 4 years relevant experience in the financial services industry, preferably gained through practical experience in asset management companies and/or regulatory authorities and/or audit firms
  • Knowledge of SFC and MPFA regulations and other regulatory requirements in Hong Kong
  • Solid knowledge of and application of rules and regulations governing fund manager, investment adviser, broker dealer, fund distribution and/or transfer agent activities in Hong Kong.
  • Solid knowledge of Microsoft Office software (essential) and fund management systems (preferable)
  • Solid analytical skills and excellent attention to detail
  • Proactive, independent and strong team player
  • Ability to multi tasks well, good time management and well-organized
  • Ability to research regulations, internal company policies and procedures for guidance and to bring alternatives /solutions
  • Good command of written and spoken English and Mandarin

 
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 Rewards—the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.
 

We regret that only short-listed candidates will be notified.
 
Candidates are welcome to visit our web site to find out more about our company: http://www.franklintempleton.com.hk.

Data collected will be used for recruitment purposes only.  Applicants not invited for interview within 6 weeks from the date of this posting may consider their application unsuccessful and these applications will be destroyed after 3 months.

Franklin Resources, Inc. [NYSE:BEN], Franklin Templeton Investments is a leading global investment management organization due to the efforts of our greatest assets - our employees.  We have over 9,000 employees working in 60 offices around the world, servicing investment solutions for our clients in more than 150 countries. We believe in our corporate values of putting clients first, building relationships, achieving quality results, and working with integrity. Our people are dedicated to delivering strong results and exceptional service to clients, team members and business partners.
 
For more than 65 years, our success has been a direct result of the talent, skills and persistence of our people.