CA required at Franklin Resources Inc.

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  1. Bhuvi Gupta
    Bhuvi Gupta on Mar 3, 2016
    Job Description - Senior Compliance Analyst (812400)
    Job Description
    Senior Compliance Analyst-812400

    Franklin Resources Inc. (referred to as Franklin Templeton Investments) situated in San Mateo, California is a Global Fund Management Company. The Group operates in more than 30 countries and has US$ 800 Billion in Asset under Management globally. Its common stock is listed on the New York Stock Exchange (BEN) and is included in the Standard & Poor’s 500 Index.
    Franklin Templeton AMC India Pvt Ltd is part of the FTI group. In India, it primarily focuses on mutual funds business. With its head office in Mumbai, its present in 33 cities in India and offers a range of products across varied investor risk profiles.
    Position: Assistant Manager-Compliance
    Location: Mumbai
    Reports To: AVP-Compliance
    Department Name: Compliance
    Country: India


    • To analyze monthly alerts sent by Trade Control team
    • To analyze Bridger Insight (BI) match cases and offer comments on the way to bring the cases to appropriate conclusion
    • Preparation and filing of STRs with Financial Intelligence Unit (FIU), India
    • To facilitate Trainings on AML and track completion
    Board and Committee Meetings:

    • To prepare the agenda papers and ensure timely dispatch to the Directors. To prepare minutes within the specified internal timelines.
    • To track completion of action points arising out of meetings & follow up on them.
    • To get completely involved in the logistical arrangements for the Board / Committee meetings.
    Dividend Distribution:
    • To ensure timely approval of Trustees for declaration of dividend in accordance with the requirements of SEBI guidelines.
    • To publish notice in newspapers for adhoc dividends and ensure filing of notices with SEBI.
    Annual Report:
    • To co-ordinate on publishing Annual Reports.
    • To review the Annual Reports from compliance perspective and co-ordinate for timely publishing of Annual Report.
    Co-ordination with R & T Agents:
    To co-ordinate with Karvy for quarterly/half-yearly certificates, issue of duplicate unit certificates, comparison of BENPOS, as and when required, and any other matter or issues pertaining to listed funds.

    SEBI Inspection:
    • To co-ordinate with various departments for providing information to the Inspection Team.
    • To prepare various notes and documents for submission to them.
    Branch Audits:
    • To track completion of branch audits as per the approved schedule.
    • To track receipt of comments from the concerned personnel and ensure that the reports are submitted to management on timely basis.
    R&T/ PMS:
    • Understanding of RTA and PMS activities.
    • Assisting these businesses from Compliance perspective.
    Annual holding statements from employees:
    To ensure collection of annual holding statements from all the employees on timely basis and effective follow up for the same.
    Quarterly transaction / Annual holding statements from directors:
    To ensure collection of quarterly transaction / annual holding statements from the directors on timely basis and effective follow up for the same


    • Education: professional qualification like CA (Chartered Accountant) or CS (Company Secretary)
    • Knowledge: SEBI Mutual Fund Regulations & other SEBI laws,
    • Experience: Approx 4 years AMC industry experience
    • Orientation towards compliance function and should have ability to build interpersonal relationships internally.
    • Advanced understanding of MF and other related SEBI regulations.
    Thorough understanding of Companies Act, 1956 and Financial markets certification


    • Good analytical, communication (written as well as verbal) and listening skills required.
    • Working knowledge of the available technology required.
    • Should be result oriented and customer focused.
    • Should have inclination to accept new jobs and challenges.
    • Should actively contribute and support team efforts and establish positive working relationship with team members.
    Some Domestic/International travel may be required

    Job Function
    :Legal & Compliance

    Primary Location
    :India-Maharashtra-Greater Mumbai

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