Compliance officer

  • Competitive
  • Luxembourg
  • Permanent, Full time
  • Franklin Templeton Investments
  • 17 Oct 17 2017-10-17

Compliance officer

Franklin Templeton Investments is a leading global investment management organization with over 70 years of experience. Our greatest assets are around 9,000 employees working in 34 countries to offer investment solutions in more than 150 countries. Our mission is to be the premier global investment management organization. We achieve this mission by offering high quality investment solutions, providing outstanding service and attracting, motivating and retaining talented people. We are guided by our unique perspective and core values: putting clients first, building relationships, achieving quality results, and working with integrity. We offer an exceptional range of diverse career options and we strive to bring a balance of work and life to our employees.

The following opportunity is available in our Luxembourg office:

Compliance Officer (f/m)

The Compliance Officer is responsible under the supervision of his or her manager, for assisting senior management to ensure that each Luxembourg regulated entity and its branches adhere to and operate within its specific license requirements, as well as the ongoing regulatory compliance obligations of local regulatory bodies. He/she will independently perform compliance monitoring activities and will assist the Compliance Manager in Luxembourg in carrying out his/her duties relating to the compliance and MLRO function for a UCITS and AIFMD licensed Management Company and a licensed MiFID firm. This includes preparation of compliance reports, risk assessment of business, carrying out monitoring, answering day to day compliance questions to business, conducting officers or regulators and supporting training and advice on local regulatory development.

Tasks and Responsibilities:

  • Monitoring and analyzing ongoing regulatory requirements to ensure that policies and procedures are compliant.
  • Conducting desk-based compliance monitoring and testing to provide assurance of compliance with applicable laws, regulation, best practice and firm standards.
  • Providing compliance services to the internal departments
  • Reviewing marketing material and providing guidance to the sales departments in Luxembourg, France, Belgium and the Netherlands.
  • Retaining locally stored compliance records and related documentation
  • Assisting the Luxembourg senior management in day-to day issues, projects, business development issues
  • Participating in the implementation of regulatory projects e.g. MiFID II, PRIIPS
  • Working closely with the International Compliance department in EMEA and APAC, risk management, internal audit, the EMEA investment controlling group, fund accounting, TA, and Legal.

Requirements and Expectations:
  • University degree in Economics, Finance or Law
  • 5-7 years experience in a compliance role within the Luxembourg asset management industry
  • Excellent knowledge of the Luxembourg regulatory environment for investment funds/firms
  • Fluent English speaker, Fluent French is a definite plus.
  • Strong analytical and problem solving skills
  • Ability to communicate in a clear, structured and effective manner
  • Very well organized self-starter able to prioritize and manage several projects/assignments at a time
  • Strong team player and able to work in global multicultural environment with numerous virtual interactions
  • Ability to carry out most tasks above with little supervision
  • Fluency in English and French. Any other language would be a considered an asset.
  • Proficient in MS Office applications such as Word, Excel, Powerpoint.

We thrive in a dynamic culture and offer an opportunity for you to maximize your potential and we are committed to offering a competitive compensation package as well as exceptional benefits program.

Applications are only considered through our website .