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Compliance Officer

2 months ago

Dubai, United Arab Emirates Franklin Templeton Investments Full time

We are currently looking for a Compliance Officer to join the Franklin Templeton EMEA Compliance team to be based in Riyadh, Saudi Arabia (“SA”).

The SA Compliance Officer is responsible for assisting senior management to ensure that Franklin Templeton adheres to and operates within its specific license requirements, as well as the ongoing regulatory compliance obligations of local regulatory bodies. The SA Compliance Officer will be responsible for initiating compliance processes, policies, and procedures whilst working closely with senior management.

Although the primary focus of this role is compliance matters relating to Saudi Arabia, the position will also require the individual to spend a proportion of time in supporting the activities carried out by FT across the MEA and UK region. The SA Compliance Officer will also have an opportunity to participate in thematic projects across other countries in which Franklin Templeton operates.

This is an opportunity for an enthusiastic, proactive thinking individual who will ideally have a sound working knowledge of the SA regulatory framework within the asset management industry.

What are the ongoing responsibilities of this position?

Compliance framework:
- Maintain compliance framework in line with regulatory requirements and market practice and that continues to meet business expectations, including regulatory and board reporting.

MLRO responsibilities:
- Discharge all the responsibilities of a registered MLRO.

AdviceTraining and education- Assisting senior management in educating staff on compliance and risk issues, acting as a contact point for compliance and risk queries. To this end, such training should be in co-ordination with the Compliance Education HR and ERM, establish an appropriate Compliance and Risk Training Program for staff, in addition to requisite written compliance and risk policies and procedures.

Compliance and entity / corporate risk assessment- On a proactive basis, identify, document and assess the compliance and corporate business risks associated with FT’s activities in their allocated countries or region. This should include, amongst other things, the development of new products or business practices, the proposed establishment of new types of business or client relationships, or material changes in the nature of such relationships.

Compliance and risk monitoring- In co-ordination with the Regulatory Compliance Monitoring team establish and implement an appropriate Compliance and Risk Monitoring Program, the results of which must be reported to senior management and the CCO International.

Regulatory responsibilities and interface- Act as the primary interface with the SA regulator (and if applicable, local industry bodies) and client or competitor compliance officers, establishing and developing relationships and providing reporting, where necessary.

What qualifications, skills and experience would help someone to be successful?- Bachelor’s degree or equivalent business experience- A combination of at least 5 years in the financial services industry with related compliance / regulatory experience-
- Extensive knowledge of local SA regulatory framework, regulatory examination / inspection process and applicable rules and regulations.- Solid understanding of the Financial Services industry, specifically regarding asset management of mutual funds and institutional business.- Proficient communication skills, written and verbal (required languages: fluent Arabic and English)- Solid presentation skills (e.g., staff meetings, multi-functional meetings, management meetings, trainings).- Ability to develop solid partnerships with the business units- Proficient analytical and judgement skills.- Ability to provide business partners with the necessary technical guidance to perform their job responsibilities.- Ability to perform multiple tasks in a fast-paced team environment and work as a team player

MID_SENIOR_LEVEL

What makes Franklin Templeton unique?

In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of

Total Rewards

—the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.

We believe that being a good corporate citizen is good business. To us, corporate citizenship means being accountable, serving our clients, being an employer of choice, managing our environmental impact, and supporting our communities. An emphasis on corporate citizenship is embedded in our culture and values, and is an important element of how we achieve success.

We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals.

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