Compliance Officer
Il y a 3 mois
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
What is the team responsible for?
The Financial Crime Compliance team is part of the Global Compliance department. 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 Templeton may suffer as a result of its failure to comply with laws, regulations, rules, industry standards and codes of conduct applicable to its activities.
FT is firmly committed to international efforts to combat money laundering and the funding of terrorist and criminal activities. We make every effort to remain in full compliance with all applicable anti-money laundering (“AML”) and anti-terrorist financing (“ATF”) laws, rules and standards adopted in the jurisdictions in which we do business. The Financial Crime Compliance team addresses Anti-Money Laundering, Anti-Corruption, and Sanctions risks.
The Compliance Officer is responsible under the direct supervision of his or her manager, for all aspects of financial crime matters and projects, focusing on our non-US business. He/she will independently perform compliance monitoring activities and perform other ongoing responsibilities described below.
What are the ongoing responsibilities of Compliance Officer?- Assist with the design and monitoring of AML, sanctions and Anti-Corruption policies and procedures within our non-US business- Provide guidance and direction to business and compliance colleague on issues related to AML, sanctions, and Anti-Corruption laws and regulations, and related company policies- Work with the Financial Crime Compliance team to perform basic and enhanced due diligence, including AML, KYC, Anti-Corruption, PEP, Sanction, and Negative News screening on new and existing relationships- Support the designated AML Officer or MLROs for non-US based companies and funds.- Work with Financial Crime Compliance team to conduct annual AML risk assessments of the Management Companies and funds under management- Assess financial crime risk for new products, investments, processes, vendors, and systems- Work with business to request additional information from relationships (i.e., intermediaries/distributors, minority interest investments, clients, vendors) for escalated incidents- Assist with creating reports on financial crime to Boards of the Management Company and fund Boards- Serve as point of escalation and provide support in connection with onboarding and ongoing due diligence matters related to clients, third-parties, investments- Participate in initial and ongoing due diligence as it relates to financial crime of vendors and outsourced providers- Advise on issues related to complex structures and higher risk customers- Identify matters with significant reputational risk and potential financial crimes exposure- Identify gaps and enhancements based on regulatory updates and recent sanctions, orders and fine- Identify and coordinate suspicious activity reporting- Liaise with the Business, Legal, Transfer Agent, Depositary bank and other key stakeholders- Assist with the development of training for Board members and staff- Liaise with local European regulators and internal and external auditors- Participate in Financial Crime related projects and initiatives for overall efficiency
What qualifications, skills and experience would help someone to be successful?- 7+ years of relevant experience, preferably at a large financial institution with relevant experience in asset management or international fund distribution- Significant AML, Sanction, and Anti-Corruption experience required (at least 5 years of experience)- Strong knowledge of CSSF AML, sanction and ABC regulatory requirements and an ability to translate them into operational/process requirements.- Experience in interpreting and implementing CSSF circulars such as CSSF 20/744 (tax offence)- Ability to understand and assess complex products, services, and clients- Strong project management and client-facing skills- Able to work independently and collaboratively as part of a global Compliance team- Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive en
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