Compliance analyst Jobs in Toronto, ON

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About the department

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.

What is the Senior Regulatory Compliance Analyst responsible for?

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.

How You Will Add Value

• 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

What Will Help You Be Successful

• 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. Examples include, but are not limited to, NI 31-103, NI 81-102, NI 81-105, CIRO rules and FINTRAC guidelines.

• 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