Posted 14 days ago
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Join Franklin Templeton's Regulatory Compliance team to support and enhance the compliance surveillance framework for asset management. You will analyze alerts from market-abuse and electronic-communications surveillance tools, document findings, escalate issues, and work with compliance officers and technology teams on investigations and tool enhancements. The role also includes preparing management information, dashboards and analytics, automating surveillance processes, and collaborating with external vendors. Shift is 11:00 AM - 8:00 PM IST and the role is based in Mumbai.
- Compensation
- Not specified
- City
- Mumbai
- Country
- India
Currency: Not specified
Full Job Description
At Franklin Templeton, we’re driving 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 offer opportunities not only to help you reach your potential but also to contribute to our clients’ achievements.
Come join us in delivering better outcomes for our clients around the world!
About the department:
The Regulatory Compliance team safeguards the organization by monitoring activities and ensuring regulatory adherence. The central surveillance team works closely with Compliance, Technology and external partners to identify risks and strengthen controls. Team members collaborate in a structured, analytical environment where they gain hands‑on experience with surveillance tools, market‑abuse monitoring and communication‑review processes.
How will you add value?
Core Responsibilities:
You will support the Compliance Surveillance framework.
You will prepare Management Information reports and dashboards.
You will enhance surveillance processes using technology tools.
Market Abuse Surveillance:
You will analyse alerts generated by surveillance tools.
You will document findings and escalate issues when required.
You will work with compliance officers on escalation decisions.
You will maintain reference guides.
You will support tool upgrades and enhancements.
Electronic Communications Surveillance:
You will review electronic communications in Outlook, Microsoft Teams and Bloomberg Messaging.
You will follow up on identified items and ensure closure.
Management Information & Dashboards:
You will deliver dashboards and analytics that support compliance decisions.
You will assist with data extraction and analysis requests.
Technology & Tools:
You will strengthen automation through surveillance technologies.
You will track industry trends to improve monitoring.
Collaboration & Communication:
You will work with Compliance, Technology and external vendors to complete surveillance tasks.
What will help you be successful in this role?
Experience, Education & Certifications:
Bachelor’s degree in Finance, Economics, or related fields.
2–3 years’ experience in compliance surveillance or risk management.
Experience in asset‑management surveillance for UK/US managers.
Professional compliance certifications are an advantage.
Technical Skills:
Strong data‑analysis capabilities and familiarity with surveillance tools.
Experience with Tableau or Power BI.
Exposure to process‑improvement activities.
Knowledge or use of AI tools.
Soft Skills:
Strong analytical mindset and attention to detail.
Ability to prioritise and manage tasks independently.
High ethical standards and discretion with sensitive information.
Clear written and verbal communication skills.
Ability to work through complex issues collaboratively.
Work Shift Timings - 11:00 AM - 8:00 PM IST
Experience our welcoming culture and reach your professional and personal potential!
Our culture is shaped by our diverse global workforce and strongly held core values. Regardless of your interests, lifestyle, or background, there’s a place for you at Franklin Templeton. We provide employees with the tools, resources, and learning opportunities to help them excel in their career and personal life.
By joining us, you will become part of a culture that focuses on employee well-being and provides multidimensional support for a positive and healthy lifestyle. We understand that benefits are at the core of employee well-being and may vary depending on individual needs. Whether you need support for maintaining your physical and mental health, saving for life’s adventures, taking care of your family members, or making a positive impact in your community, we aim to have them covered.
Highlights of our benefits include:
Professional development growth opportunities through in-house classes and over 150 Web-based training courses
An educational assistance program to financially help employees seeking continuing education
Medical, Life and Personal Accident Insurance benefit for employees. Medical insurance also cover employee’s dependents (spouses, children and dependent parents)
Life insurance for protection of employees’ families
Personal accident insurance for protection of employees and their families
Personal loan assistance
Employee Stock Investment Plan (ESIP)
Annual recognition programme
Volunteer services and paid time off for volunteering
12 weeks Paternity leave
Located in the heart of Mumbai in the One International Centre, with spectacular views of the buzzing city
Walking distance of 100 meters from Western/Central railway station, accessible by road and local rail from all parts of the city
Learn more about the wide range of benefits we offer at Franklin Templeton
Franklin Templeton is an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and existing 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.
Franklin Templeton is committed to fostering a diverse and inclusive environment. If you believe that you need an accommodation or adjustment to search for or apply for one of our positions, please send an email to accommodations@franklintempleton.com. In your email, please include the accommodation or adjustment you are requesting, the job title, and the job number 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.
