Compliance Officer

2 weeks ago

Shanghai, Shanghai, China F3350 Franklin Templeton Private Fund Management (Shanghai) Co., Limited Full time

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 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 provide 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

We are looking for a Compliance Officer based in Shanghai, China. The Compliance Officer will be liaising with the China regulators, reviewing marketing materials to be distributed and providing advice to the products to be launched in China. This role will also implement a local compliance monitoring program for Franklin Templeton's (FT) business units to ensure that all activities comply with the pertinent legal and regulatory requirements as well as FT's internal policies and procedures. This role will have opportunities to work with other team members within Regulatory Compliance Team across EMEA and APAC on various compliance projects and initiatives to support our business partners.

What are the ongoing responsibilities of this position?

Liaise with regulators such as China Securities Regulatory Commission and Asset Management Association of China Provide compliance advice for the products to be launched Review marketing materials and financial promotions to be distributed and ensure adherence to relevant local regulatory requirements and industry best practices Prepare and compile regulatory compliance reports to regulators, auditors and/or clients Implement local compliance monitoring programs for business activities in a timely and efficient manner Analyze and report forensic testing results Update local compliance manuals, policies, and procedures when required Support regional compliance risk assessments Participate in local and overseas compliance projects and initiatives, other business projects to support our business partners Other Ad-hoc project and administrative work

What qualifications, skills and experience would help someone to be successful?

Bachelor's degree Minimum 5 years relevant compliance experience in the financial services industry Practical experience in asset management companies, regulatory authorities and/or audit firms, and had experience in setting up and working in QDLP, PFM or FMC in China is highly preferred Knowledge of CSRC and AMAC regulations and other regulatory requirements in China Solid knowledge of Microsoft Office software (essential) and fund management systems (preferable) Excellent communication skill and must be proficient in written and verbal English and Chinese Project Management experience is preferred Solid analytical skills Meticulous and attention to detail Proactive and independent Ability to perform multiple tasks in a fast-paced team environment Strong organizational and time management skills Passed the Fund Practitioner Qualification Exam [基金从业资格考试]

#LI-APAC

#ASSOCIATE

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 your needs covered.

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 to search for or apply for one of our positions, please send an email to . In your email, please include the accommodation 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.

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