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| Job Category : | Business |
| Company Name: | Franklin Templeton Investments |
| Position Name: | Compliance Officer |
| Location : | 101 Barclay St, New York, NY 10007 |
| Job Description : | At Franklin Templeton, everything we do is focused on one thing – delivering better client outcomes. We do that by partnering closely with our clients, assessing their strategic needs, and identifying the solution or solutions that can meet the challenge. Over 12,000 employees working in 34 countries around the world are dedicated to servicing investment solutions for our clients in more than 160 countries. For more than 70 years our success has been a direct result of the talent, skills and persistence of our people, and we are looking for qualified candidates to join our team. What is the Compliance group responsible for? Franklin Templeton’s Global Compliance team provides oversight and guidance to various business teams who market FT’s suite of product solutions. What is the Sr. Compliance Officer responsible for? The Sr. Compliance Officer will review marketing material relating to alternative products for consistency with applicable US and International regulatory standards. What are the ongoing responsibilities of a Sr. Compliance Analyst? Analyze marketing material for compliance with regulatory standards including, SEC, FINRA and MSRB Provide consultation to internal business partners for standards of marketing review and provide guidance to align alternative product marketing materials to corporate and regulatory standards Act as Registered Principal for marketing materials Train marketing staff on rules and regulations relating to marketing materials for alternative products. Utilize technology to assist the firm in achieving an efficient marketing material review process Create summary reports to Compliance and Business Management that detail compliance findings and corrective actions Conduct spot checks of business units to verify adequate controls Assist in drafting compliance policies and procedures Serve as a resource to internal partners with inquiries regarding business communications What ideal qualifications, skills & experience would help someone to be successful? Possess knowledge of financial services industry as well as financial instruments (mutual funds, Collective investment trusts, ETFs, UCIT Funds, managed accounts, private placements) Relevant marketing review experience required Series 7 and Series 24 preferred (or willing to obtain upon joining) Strong working knowledge of global securities laws, rules, and regulations relating to marketing material Strong analytical and writing skills Proficiency with electronic document management software and systems Experienced in using Outlook, Excel, PowerPoint, Adobe, SharePoint Must demonstrate the willingness to learn and work within a team environment Ability to help troubleshoot and suggest process improvements Meticulous attention to detail and exceptional organizational skills Must possess ability to function in a demanding, fast-paced and multi-dimensional role Demonstrated problem-solving skills High level of initiative, the ability to act independently using sound judgment, adaptability to a dynamic sales environment Good presentation and public speaking abilities #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. Highlights of our benefits include: Three weeks paid time off the first year Medical, dental and vision insurance 401(k) Retirement Plan with 75% company match on your pre-tax and/or Roth contributions, up to the IRS limits Employee Stock Investment Program Tuition Assistance Program Purchase of company funds with no sales charge 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. Take some time to, meet some of our people, and see what it means to say, “I AM Franklin Templeton”. Franklin Templeton is an Equal Opportunity Employer. We are committed to equal employment opportunity for 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. We invite you to visit us at Franklin Templeton Careers to learn more about our company and our career opportunities. 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 and the job title and 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 requests for accommodations will receive a response. |
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