Senior Compliance Officer

Franklin Templeton; London; On-site; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a Senior Compliance Officer to join their dynamic team in London. This role offers a unique opportunity to influence compliance practices across various business lines while ensuring adherence to UK and EU regulations. The ideal candidate will possess extensive experience in compliance within the asset management sector and demonstrate strong analytical and communication skills. Join a collaborative environment that values diversity and fosters professional growth, where your contributions will help shape the future of compliance in a global context.

Benefits

Contributory Pension Scheme

Private Healthcare Plan

Life Insurance

Employee Stock Investment Program

Educational Reimbursement

On-site Training

Qualifications

• 7-10 years of compliance experience in asset management.
• Excellent knowledge of UK regulatory environment.

Responsibilities

• Provide advisory support to business departments.
• Maintain compliance framework for UK entities.
• Monitor regulatory developments across EMEA.

Skills

Compliance Knowledge

Analytical Skills

Problem-Solving

Communication Skills

Team Collaboration

Education

University Degree in Economics

University Degree in Finance

University Degree in Law

Tools

MS Office

Job description

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: Senior Compliance Officer

Franklin Resources, Inc.is a global investment management organization with subsidiaries operating as Franklin Templeton and serving clients in over 150 countries. Franklin Templeton’s mission is to help clients achieve better outcomes through investment management expertise, wealth management and technology solutions. Through its specialist investment managers, the company offers specialization on a global scale, bringing extensive capabilities in equity, fixed income, alternatives, and multi-asset solutions. With more than 1,500 investment professionals, and offices in major financial markets around the world, the California-based company has over 75 years of investment experience. Our success has been a direct result of the talent, skills and persistence of our people, and we are looking for Senior Compliance Officer based in the UK.

What is the Business Unit responsible for?

The Global Compliance has more than 100 compliance professionals located in in various countries worldwide. Our team helps mitigate compliance risks facing the company, including material loss, financial loss, or loss of reputation, as well as the possibility of regulatory sanctions that Franklin Templetonmay suffer as a result of its failure to comply with laws, regulations, rules, industry standards and codes of conduct applicable to its activities.

The Senior Compliance Officer role serves as either the designated Compliance Officer for an entity and/or country which involves complex products, multiple business lines/licenses, and/or cross-jurisdictional functions; and/or the primary point of contact providing strategic leadership for one or more critical compliance functions. This role requires an extensive understanding of applicable rules/regulations, a deep understanding of Franklin Templeton's business, and the ability to identify opportunities to integrate local processes into global processes when feasible. Scope: This role requires significant independence and judgment and drives compliance decisions and practices of the department and junior compliance staff.

What are the ongoing responsibilities of the role?

• Being a key part of the UK Compliance Team, providing advisory support to business departments and senior management

• Maintaining the compliance framework for the UK entities

• Working actively on new regulatory developments across EMEA by monitoring regulation, preparing impact assessments, advising and supporting the business

• Develop appropriate management information for senior management, boards, Committees and working groups

• Liaise with legal and internal audit on control issues

• Participating in regulatory implementation projects

• Supporting the broader Global Compliance teams including Investment Compliance and Marketing Compliance

• Working closely with departments in and outside of the UK in particular Risk Management, Internal Audit, EMEA Investment Management Oversight, Fund Accounting, TA Oversight, Legal, Sales and Product Management

• Participating in international compliance initiatives

What qualifications, skills and experience would help someone to be successful?

• University degree in Economics, Finance or Law

• 7-10 years experience in a compliance role within the asset management industry preferably gained in the UK

• Excellent knowledge of the UK regulatory environment for investment funds and firms as well as relevant EU regulation in particular UCITS, AIFMD, MiFID

• Good knowledge on UK and EU regulations governing alternative products, operational risks, digital investments, market abuse and sustainable investments

• Strong analytical and problem-solving skills with attention to detail

• Strong and effective communicator – both verbally and in writing

• Strong team player

• Collaborative approach to working with key business stakeholders and the ability to influence and build strong working relationships in a global multicultural environment

• Very well-organized self-starter, working independently and able to prioritize and manage several projects/assignments at a time

• Proficient in MS Office applications such as Word, Excel, Powerpoint

What makes Franklin Templeton unique?

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. Highlights of our benefits include - contributory pension scheme, private healthcare plan, PHI, life insurance, Employee Stock Investment Program, incentive plans, purchase of company funds with no sales charge, educational reimbursement and on-site training.

We believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and supporting our communities. An emphasis on corporate citizenship is embedded in our culture and values, and is an important element of how we achieve success.

We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals. Take some time to, meet some of our people, and see what it means to say, “ I AM Franklin Templeton.”

Franklin Templeton values diversity in its workforce and welcomes employees from different backgrounds, generations, capabilities, cultural identification, sexual orientations, and gender expression, in addition to other attributes that contribute to a truly diverse and inclusive community.

Experience our welcoming culture and reach your professional and personal potential!

Building teams with diverse skills, backgrounds, and experiences has always been important to us. Cultivating an inclusive culture where employees feel safe to share their voices is not only beneficial for our people, but also drives innovation and enables us to deliver better client outcomes. So, no matter your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We will provide you with tools, resources, and learning opportunities to help you excel in your career and personal life.

Hear more from our employees

We want our employees to be at their best. By joining us, you will connect with 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 staying physically and mentally healthy, saving for life's adventures, taking care of your family members, or making a positive impact in your community, we aim to have you 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.

As part of our commitment to fostering a diverse and inclusive work environment, we welcome applicants with flexible working arrangements in their current roles or those seeking a flexible working pattern. We encourage you to communicate any preferences for flexible working so that we can consider this during our hiring process. Additionally, returners – individuals who have taken a break from work – are also encouraged to explore our job opportunities.

As a registered UK Disability Confident Committed Employer, we encourage you to disclose if you consider yourself to have a disability as part of your application. This information enables us to provide the necessary support and leverage your unique talents effectively.

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 [e-mail]. 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 requests for arrangements will receive a response.