Franklin Templeton - Operations Risk Analyst

JOB SUMMARY :

- The Operational Risk team has designed and rolled-out a Management Assurance Program, which provides Int- l TA leaders with assurance on the effectiveness and efficiency of their internal control framework. The Operational Risk Analyst is responsible for carrying out the program of control testing, which will include mapping key processes, testing controls, reporting the findings and monitoring remedial action plans.

- The testing will take place on a number of key processes carried out throughout Int- l TA, and will involve working with TA colleagues located in many other locations. In addition, the Analyst will carry out Sarbanes Oxley testing, and other ad hoc testing exercises as required.

- Put a control testing framework, thereby providing assurance to leaders on the effectiveness and efficiency of their internal control environment.

- The Operational Risk Analyst will be responsible for carrying out internal control testing and documenting/reporting the results appropriately. In addition, the Analyst may carry out control testing to meet US regulatory testing requirements, including Sarbanes Oxley.

JOB DUTIES/ RESPONSIBILITIES :

Management Assurance Program (MAP) :

- Contribute to the ongoing, design of the MAP framework

- Assist in the production, and maintenance, of MAP P&P documentation

- Assist in the production, and maintenance, of MAP training materials

- Deliver training materials

- Map key processes and controls

- Remote testing of key controls

- Report, and deliver, testing results

- Liaise with Int- l TA Managers to close out control gaps in accordance with remedial plans

- Liaise with Internal Auditors during Audits

- Liaise with Compliance team during Compliance Monitoring programs

Compliance Rules Documentation and Testing :

(Documentation and testing driven by US registered funds requirements) :

- Produce, and deliver where required, training materials for Int- l TA testers

- Produce Int- l TA testing materials and documentation

- Co-ordinate the testing within Int- l TA testers

- Collate, and review, all test documentation including back-up provided

- Liaise with US process owners to ensure test documentation meets requirements

Sarbanes Oxley Documentation and Testing :

- Prepare documentation for key processes as required by Sarbanes Oxley

- Carry out control testing as required

- Report findings to Sarbanes Oxley team

- Participate in control review meetings as required

- This will involve liaising with the FT Sarbanes Oxley team located in the US.

EDUCATION and EXPERIENCE :

- Excellent verbal and written communication skills

- Strong analytical, research, investigative and problem solving skills

- Ability to exercise independent judgment consistently and seek out course of action outside established guidelines when necessary

- Ability to establish and maintain co-operative working relationships across multinational internal business units and external parties

- Advanced Microsoft Excel, Word, PowerPoint and SharePoint skills

- Ability to work with minimal supervision, maintain confidentiality

- Strong organizational and prioritization skills

- Ability to work with senior levels of management

- Excellent time management skills and ability to meet deadlines

- Strong attention to detail

- Ability to solve routine problems of limited scope and complexity with guidance from Management

- Ability to research/leverage resources that may not be readily available to resolve problems

- Ability to make independent decisions on a daily basis.

- Ability to think logically and critically.

Qualifications :

Educational Qualification : Bachelor's degree.

- Overall Years of Experience: 3-7 years of total work experience with 2-4 years of Internal control testing, Sarbanes Oxley or Internal audit experience.

Mandatory skills :

- Proven expertise to process complex work types.

- Must possess excellent analytical skills.

- The position needs to closely coordinate with senior levels of management/Global sourcing team in multiple locations and hence candidate is expected to have strong written & oral communication.

- Ability to work independently/autonomously.

Desired skills :

- Exposure to risk management/Ops risk processes will be an added advantage

- While work experience in Transfer Agency will be an advantage, exposure to Audit/financial risk management/Operational risk related process is desired

NOTE : The above statements are intended to describe the general nature and level of work being performed by incumbents. They are not intended to be an exhaustive list of all responsibilities, duties and skills required by all incumbents. Incumbents may perform other duties as assigned. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Management retains the right to add to or change the duties of the position at any time.