Chief Compliance Officer
il y a 2 semaines
Role: Head of Compliance: Luxembourg Management Company
An opportunity has arisen for an experienced Compliance Professional to join the global asset manager, Franklin Templeton, as Head of Compliance for the Luxembourg Management Company (‘the ManCo’). The role includes Conducting Officer responsibilities.
Compliance Function at Franklin Templeton
The Compliance team that services the ManCo is part of the EMEA Compliance Function which in turn is part of the Global Compliance team at Franklin Templeton.
Franklin Templeton’s Global Compliance team has more than 100 compliance professionals located in in various countries worldwide. The Global Compliance team is split into teams that focus on the compliance frameworks for regulated entities such as the Lux ManCo and these teams are supported by other specialist compliance teams that are typically established as centres of excellence for example Code of Ethics, Investment Compliance, Client Regulatory Reporting, Marketing Compliance, Financial Crime.
The role Head of Compliance for Luxembourg role sits within the EMEA Compliance function and reports directly to the Head of EMEA Compliance. There are also reporting responsibilities to the Head of the ManCo.
What are the ongoing responsibilities of a Chief Compliance Officer - Luxembourg?
The role will include the following responsibilities:
- Lead the delivery of a compliance framework that meets the expectations of the CSSF and other local branch regulators. This includes activities necessary to execute the role such as:
- Identify and assess the compliance risks associated with the activities of the ManCo.-
- Establish a risk-based compliance monitoring plan tailored to the ManCo.-
- Maintain policies and procedures to support Compliance with the relevant regulatory requirement of the ManCo.-
- Maintain the conflicts of interest register of the ManCo.-
- Compliance reporting to the management body and Boards of the ManCo.- Assist and advise senior management on compliance issues or breaches.- Serve as a point of escalation for the ManCo on compliance issues as they arise.- Advise on regulatory changes and take a lead in discussions on to implement.- Provide guidance on compliance related topics.- Maintain a training plan to facilitate the roll out of timely compliance training.- Act as the key contact person for communication with the CSSF.- Engagement with other compliance teams that deliver services to the ManCo team; for example Global Code of Ethics team.- Participate in Compliance related projects and initiatives for overall efficiency.- Get involve in industry associations and compliance roundtables to keep up to date with best market practice.
The role will involve the management of a small team of dedicated Compliance staff. A wider network of other Global Compliance teams support the regulated entities via service agreements.
What qualifications, skills and experience would help someone to be successful?- Extensive, relevant experience, preferably at a large financial institution or regulator.- Strong knowledge of European financial regulation.- Ability to understand and assess the regulatory risks associated investment funds, investment services, and clients.- Strong communication skills both virtual and in office.- Able to work independently and collaboratively as part of a global program.- Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment.- Proven experience in managing remote team in an international environment.- Ability to work in partnership with the larger Compliance group and business partners.- Fluent in English required, with French, German or other European languages a plus.
LI-EUR
- 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.
- Franklin Templeton values
- diversity
in its workforce and welcomes empl
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