Investment Compliance Analyst
Investment Compliance support the Investment Management teams through the identification and management of investment compliance risks.
We do this by maintaining a focus on adherence to investment/trading guidelines and restrictions imposed by law, client mandate, corporate policy and industry best practice. In our efforts to do this we work closely with the portfolio managers and trading teams to achieve the best outcome for shareholders.
We utilize the Charles River Investment Management Solution system to assist with our monitoring and have responsibility to ensure funds are accurately monitoring investment limits, so we can track, monitor and report any exceptions.
We’re looking for Investment Compliance Analyst or Senior Analyst – depending on the candidate’s experience.
Working with us, you will be 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,
- Liaising directly with the portfolio management teams and traders, ensuring that all trades entered for execution comply with applicable investment restrictions,
- Conducting automated reviews of investment guidelines using Charles River to note if there are any breaches of investment restrictions on a post trade basis,
- Provide notifications to management of any violations or potential violations,
- Monitoring outstanding incidents and ensure they are addressed in a timely manner,
- Responding to requests for information from external and internal sources,
- Interpreting investment guidelines and ensuring that the appropriate controls are put in place,
- Ensuring that appropriate controls are maintained and improved on a continuous basis,
- Providing any necessary reporting.
We are looking for Candidates who:
- Have a College/University degree
- Have 3+ years Financial Services experience, preferably in Investment Compliance, Investment Operations, Security Pricing or Fund Accounting
- Are able to demonstrate an understanding and interest in stocks, bonds, options, and financial markets and products
- Have excellent analytical skills
- Have excellent problem-solving skills
- Possess strong attention to detail and accuracy
- Communicate effectively in writing and speaking
- Have strong relationship management skills.