Investment Compliance Consultant - Toronto
Franklin Resources,Inc
25d ago

Investment Compliance Consultant - Toronto-825951

At Franklin Templeton Investments, we are dedicated to delivering strong results and exceptional service to clients, team members and business partners.

Over 9,000 employees working in 60 offices around the world are dedicated to servicing investment solutions for our clients in more than 150 countries.

For over 65 years, our success has been a direct result of the talent, skills and persistence of our people, and we are looking for qualified candidates to join our team.

What are the goals of the team and how can you contribute to its success? The incumbent will lead a small team that ensures all funds and accounts comply with their respective investment guidelines, regulatory requirements and internal policies, with a primary focus on Canada.

The role will represent the Investment Compliance department and is the primary point of contact with portfolio management as well as internal and external customers.

To be successful in the role, the incumbent brings a strong background in both investments and compliance within capital markets, including knowledge of investment compliance related policies and procedures.

What are the ongoing responsibilities of the Investment Compliance Consultant role? Portfolio Compliance Review and approve portfolio compliance functions, provide support and guidance on trade pre-

clearance and post-trade review, create and maintain periodic review schedules for funds and accounts based on risk, and supervise and coordinate new account setup.

Also enhance existing controls and establish new processes to prevent and detect instances of non-compliance. Compliance Reporting Complete, validate and coordinate the submission of relevant board reports, client certifications, and oversee and manage compliance audit requests.

Leadership Coach and develop direct reports, track and assess performance, ensure all tasks and responsibilities are completed timely and accurately.

Also provide supervisory support to other Investment Compliance locations globally. Relationship Management Represent the Investment Compliance department and being the primary point of contact with investment management, business unit heads and their functional leaders, and internal and external customers.

Also identify and implement appropriate compliance training for employees both inside and outside of the department. Projects and Initiatives -

Drive completion of project deliverables, allocate appropriate resources, ensure quality and timeliness, and generally oversee the implementation of projects and initiatives.

What ideal qualifications would help someone to be successful? Undergraduate degree in Business or a related discipline.

CFA is an asset. Minimum 5 to 7 years related experience in a mutual fund or investment advisory firm, including 3+ years within a compliance department.

Solid understand of business risk and investment compliance requirements. In-depth understanding and strong working knowledge Canadian rules and regulations (National Instrument 62-

103 and 81-102, Pension Benefits Acts) Fundamental understanding of applicable legislation in other regions in which the firm operates (i.

e. Investment Company Act of 1940 and Investment Advisers Act of 1940 for US, UCITS for Europe, etc.). Understanding and working knowledge of applicable rules and regulations of international investment advisers located in Canada, Europe and Asia (Pension Benefits Act and National Instrument 81-

102, UCITS III). Experience in Charles River Investment Management System is an asset. What makes Franklin Templeton Investments 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 :

  • Flexible medical, dental and vision insurance
  • Corporate Pension Plan
  • Employee Stock Investment Program
  • Purchase company funds with no sales charge
  • Competitive vacation package that includes three annual personal days
  • Company paid short-term and long-term Disability Insurance
  • Education assistance
  • Franklin Templeton Investments Corp. is committed to providing accommodations for persons with disabilities. If you require accommodation, we will work with you to meet your needs.

    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 . #LI-US #ASSOCIATE

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