Senior Regulatory Compliance Analyst

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! 

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.

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.  

• 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

• 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

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.
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Our culture is shaped by the variety of perspectives and experiences brought by talent from around the world.  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 your needs covered.

Highlights of our benefits include:

• Flexible medical, dental and vision insurance

• Corporate Pension Plan

• Employee Stock Investment Program

• Purchase company funds with no sales charge

• Competitive vacation package that includes three annual personal days

• Company paid short-term and long-term Disability Insurance

• Education assistance

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 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 [email protected]. 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.

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