Job Description

At Franklin Templeton, we're driving 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 offer opportunities not only to help you reach your potential but also to contribute to our clients' achievements.
Come join us in delivering better outcomes for our clients around the world!
What is the Compliance Surveillance Analyst responsible for?• The Compliance Surveillance Analyst (CSA) is member of central surveillance team which is part of the Regulatory Compliance team. In general, this position will be responsible for assisting the Regulatory Compliance team in conducting their responsibility of oversight and monitoring.
• The CSA is responsible for the below primary areas involving critical thinking and process improvements:
• Support the Compliance Surveillance framework Support the preparation of Management Information reports or dashboards Work with the different technology tools and enhance the framework


What are the ongoing responsibilities of a Compliance Surveillance Analyst?•Support the Compliance Surveillance program:•
Market abuse surveillance:• Analyse alerts triggered by the relevant tool based on data points
• Document the analysis, escalate or close the alters post review
• Discuss the escalation cases with concerned compliance officer/ team, as required
• Update reference guides
• Work with relevant project groups on tool version upgrades and enhancements


Electronic Communication surveillance:• Conduct surveillance on electronic communications (review and follow up on identified hits based of key word lexicons) - Microsoft Outlook, MS Teams and Bloomberg Instant Messaging


Management Information and dashboard:• Preparation of various Management Information reports. This could include data analytics reports/ dashboards
• Support the Compliance team on various data extraction or analysis requests


Technology and Tools:• Utilize compliance surveillance tools and technologies to enhance monitoring capabilities and automate surveillance processes where possible.
• Stay informed about emerging technologies and industry trends in compliance surveillance.


Collaboration and Communication:• Work closely with various teams, including Compliance, FTT, 3rd party vendors to execute against assigned surveillance tasks.


What ideal qualifications, skills & experience would help someone to be successful?•Qualification & Experience: Bachelor's degree in finance, Economics, MBA, Inter CA. 2-3 years' experience in compliance surveillance, risk management, or related areas within the banking & financial sector. Additionally, certifications related to financial compliance or surveillance is preferred.
• Good understanding of financial markets, asset management, and investment strategies. Ideally 2-3 years relevant experience in asset management surveillance served for a UK or US based investment manager
• Experience in compliance surveillance, risk management, or related areas within the banking & financial sector.
• Approximately four years of relevant corporate experience.
• Proficiency in data analysis and the use of compliance surveillance tools.
• Excellent analytical skills and attention to detail.
• Ability to work independently, prioritize tasks, and meet deadlines in a fast-paced environment.
• Strong ethical standards and integrity in handling confidential and sensitive information.
• Experience in Tableau or Power Bi is a plus
• Experience with process improvement preferred.
• Analytical Approach - Synthesizes ideas and information required for process improvement into a manageable form.
• Embracing Challenge - Knowledge of the issues and opportunities in complex situations and working with the team to work on those.
• Ability to communicate effectively both orally and in writing


Work Shift Timings - 11:00 AM - 8:00 PM IST
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.
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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 them covered.•Highlights of our benefits include: Professional development growth opportunities through in-house classes and over 150 Web-based training courses
• An educational assistance program to financially help employees seeking continuing education
• Medical, Life and Personal Accident Insurance benefit for employees. Medical insurance also cover employee's dependents (spouses, children and dependent parents)
• Life insurance for protection of employees' families
• Personal accident insurance for protection of employees and their families
• Personal loan assistance
• Employee Stock Investment Plan (ESIP)
• Annual recognition programme
• Volunteer services and paid time off for volunteering
• 12 weeks Paternity leave
• Located in the heart of Mumbai in the One International Centre, with spectacular views of the buzzing city
• Walking distance of 100 meters from Western/Central railway station, accessible by road and local rail from all parts of the city


Learn more about the wide range of benefits we offer at Franklin Templeton
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 accommodations@franklintempleton.com. 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.