Compliance Specialist - Hyderabad
- Franklin Templeton
- 0 - 2 years
- Hyderabad
- 4 years ago
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Job Description
What is the Compliance Specialist in Global Compliance group responsible for
- The Compliance Specialist is primarily responsible for data entry or completing basic reporting and monitoring following specific procedures and guidelines.
- This role may also perform analytical monitoring or reviews with Management or team leader oversight. Scope: This role provides support to other Compliance and business functions.
- The tasks are routine and based on established procedures.
Duties / Responsibilities :
- Collect/Review/Report large quantities of data with high levels of accuracy for the preparation of periodic reports (ex. management, board, and regulatory), and identification of outstanding documentation to provide administrative support to the Compliance team
- Communicate to various departments and compose required emails and notifications for tracking and follow-up
- Perform test case monitoring and due diligence and will highlight exceptions or issues to the appropriate Compliance team so that they can determine the appropriate action
- The review function will involve contacting employees to obtain required documents maintaining records of the review and following up with employees as needed; may also review compliance systems and perform basic reconciliation and analysis of reported data/documentation; Employees will prepare various draft reports for signoff
- Enter large quantities of detailed information with high levels of accuracy into various Compliance systems and perform limited reviews of compliance data with Management oversight
- Assist Compliance Officers/teams with routine and well- defined reporting requirements
- The role may also create an initial response to documentation (Ex. RFPs, general reports) which will require pulling information from multiple sources
- Those performing the review function will enter/update information in Compliance systems. Limited analysis may be performed with Management oversight
- Reviewing employee trade activity (confirms and statements)
- Input/update trade confirmations into personal trading system
- Review monthly and quarterly statements to ensure transactions and other misc. activities (transfers, shares received, etc.) have been input into the personal trading system
- Reconciliation of holdings in the personal trading system and monthly/quarterly brokerage statements
- Assist in the monitoring of the Code of Ethics mailbox for consistent and accurate responses to emails
What ideal qualifications, skills experience would help someone to be successful
- Bachelor and/ or graduate degree (or equivalent) in accounting, finance or business
- MBA Finance would be given a preference
- Typically 0 to 2 years of experience
- Strong knowledge of business desktop applications (Outlook, Word, Excel, Access, PowerPoint, etc. )
- Basic knowledge of financial instruments (equities, bonds, options, swaps and other derivative products)
- Analytical and problem- solving skills
- Experience with FIS Personal Trading Assistant (PTA) OneTis a plus
- Certification like CFA Institute Investment foundations would be an added advantage
Job Classification
Industry: Banking, Financial Services, BrokingFunctional Area: Accounts, Finance, Tax, Company Secretary, Audit,
Role Category: Accounts
Role: Accounts
Employement Type: Full time
Education
Under Graduation: Any Graduate in Any SpecializationPost Graduation: MBA/PGDM in Marketing
Doctorate: Any Doctorate in Any Specialization, Doctorate Not Required
Contact Details:
Company: Franklin TempletonLocation(s): Hyderabad
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Keyskills: Trade Administration Due diligence Compliance Analytical Reconciliation HTTP Medical insurance Monitoring Data entry
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