Senior Regulatory Compliance Analyst

Overview 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 firm spans asset management, wealth management and fintech, offering many ways to help investors make progress toward their goals. Talented teams working around the globe bring expertise that’s both broad and unique. And our welcoming, respectful and inclusive culture provides 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 About The Department The Franklin Templeton Global Compliance Canada team provides oversight and guidance to the four (4) regulated entities within Canada to ensure they adhere to securities laws, rules and regulations and internal Franklin Templeton policies and procedures. The successful candidate will report to the Chief Compliance Officer in Canada. Senior Regulatory Compliance Analyst responsibilities What is the Senior Regulatory Compliance Analyst responsible for? We are looking for a Senior Regulatory Compliance Analyst who is enthusiastic and capable of functioning in an efficient, meticulous, and proactive manner in a fast-paced environment. You’re motivated, eager to learn, a team player, resourceful, organized, communicative and able to ensure the department runs smoothly by proactively completing tasks independently with integrity and strong attention to detail. You will be interacting with both internal and external business partners to obtain information which needs to be maintained, analyzed and used to draft reports for the Chief Compliance Officer, other internal business partners and for regulatory reporting. How You Will Add Value Ensure all assigned tasks are completed as per the daily, weekly, monthly, quarterly and annual calendar of compliance tasks Prepare and submit Anti-Money Laundering reports to both the Ontario Securities Commission (OSC) and the Office of the Superintendent of Financial Institutions (OSFI) Assist with risk assessments and provide reporting to Franklin Templeton global compliance in response to various requests for information Distribute, track and review quarterly certifications from Specialist Investment Managers that act as sub-advisors to Franklin Templeton Investments Corp. mutual funds. Review monthly and quarterly investment compliance client certifications and prepare for CCO signature Annual complaint filing to the Autorité des marchés financiers (AMF) Assist with the review of policies and procedures and training programs Conduct spot checks and testing of certain business units, maintain evidence of the review and report findings to the CCO Work on various ongoing initiatives and ad-hoc projects, as needed Act as a back up to the Compliance Officer What Will Help You Be Successful Experience in regulatory compliance and knowledge of Canadian securities regulations applicable to investment fund managers, portfolio managers, exempt market dealers, trust companies and mutual fund dealers is highly desirable Canadian Securities Course (CSC) desirable Knowledge of the following systems is desirable: Microsoft O365, SharePoint, Workday, MetricStream Observe the highest degree of confidentiality in the handling of sensitive information received in connection with responsibilities Have excellent organizational and interpersonal skills, be a team player and handle multiple tasks at a time while maintaining attention to detail while ensuring deadlines are met Have strong written communication skills to prepare detailed responses to business partners and regulators Ability to prepare detailed reports and maintain firm books and records to satisfy regulatory requirements Good oral communication skills to appropriately discuss and resolve matters with internal business partners Be determined, confident, and highly motivated with a genuine desire to expand compliance knowledge and take on additional responsibilities over time Benefits and Compensation Franklin Templeton offers employees a competitive and valuable range of total rewards—monetary and non-monetary — designed to support their well-being and recognize their time, talents, and results. Along with base compensation, employees are eligible for an annual discretionary bonus, and recognition rewards. We also offer a comprehensive benefits package, which includes a range of competitive healthcare options, insurance, and disability benefits, employee stock investment program, learning resources, career development programs, reimbursement for certain education expenses, paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering) and a motivational wellbeing program. We expect the annual salary for this position to range between $70,000 - $90,000, depending on location and level of relevant experience, plus discretionary bonus. Culture and Equal Opportunity Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and 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. If you believe that you need an accommodation or adjustment, due to a medical condition or disability, to search for or apply for one of our positions, please send an email to In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number of the position you are applying for. It may take up to three business days to receive a response to your request. Please note that only accommodation requests will receive a response. This posting is for an existing vacancy. #J-18808-Ljbffr