Senior Portfolio Compliance Analyst

1 week ago

Mumbai, Maharashtra, India Franklin Templeton Full time ₹ 1,20,000 - ₹ 6,00,000 per year

Role & responsibilities

Duties / Responsibilities

  • Pre-Trade Compliance - Collaborate with Traders and Portfolio Management teams to ensure prompt resolution of compliance alerts related to investment restrictions. Utilize automated compliance platforms, such as Quantis and Charles River, to proactively identify and address potential issues prior to trade execution.
  • Post-Trade Compliance Conduct timely review, analysis, and research of post-trade exceptions generated by the compliance system. Identifying and assessing potential compliance issues, facilitating effective resolution in accordance with regulatory standards.
  • Account Compliance Monitoring - Oversee ongoing account compliance by tracking outstanding violations and ensuring the timely implementation of SEBI circulars. Escalate any potential non-compliance matters through established notification protocols to IC management and Investment Management groups, as appropriate.
  • Information Request Management - Respond efficiently and accurately to information requests and inquiries from internal stakeholders and external parties, including regulators and auditors.
  • Regulatory Reporting - Prepare certifications and reports for regulatory bodies, including SEBI, RBI, and the AMC Trustee Board, ensuring all documentation is accurate and compliant with relevant guidelines.
  • Process and Control Evaluation - Evaluate existing controls and processes to optimize efficiency and minimize the risk of errors, supporting continuous improvement initiatives.
  • Account Onboarding Implementation - Lead the implementation of new account onboarding processes, including the interpretation of investment guidelines, and the coding and testing of compliance rules within the compliance systems.
  • Project and Ad-Hoc Initiative Participation - Participate in project-based initiatives and undertake additional ad-hoc requests as required by the team, contributing to organizational objectives and strategic goals.

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